George T. Brooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Thomas Brooks was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1988. George had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2013 - December 20, 2021
PURSHE KAPLAN STERLING INVESTMENTS
May 8, 2012 - March 5, 2015
SENTARA CAPITAL
February 5, 2008 - December 31, 2012
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
February 5, 2008 - February 21, 2013
RESOURCE HORIZONS GROUP LLC
April 30, 2003 - February 6, 2008
OSAIC FS, INC.
April 14, 2003 - February 8, 2008
INDEPENDENT ADVISERS GROUP CORP
October 31, 2000 - February 6, 2008
OSAIC FS, INC.
August 16, 1999 - November 1, 2000
AMERITAS INVESTMENT COMPANY, LLC
September 10, 1996 - August 24, 1999
PMK SECURITIES & RESEARCH, INC.
May 5, 1995 - September 13, 1996
WMA SECURITIES, INC.
October 4, 1993 - May 15, 1995
OSAIC FS, INC.
February 15, 1991 - October 8, 1993
RUAN SECURITIES CORPORATION
March 23, 1990 - December 31, 1990
OPPENHEIMER & CO. INC.
September 20, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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