Brooke E. Vinson
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.
Brooke Eugene Vinson was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 1991. Brooke had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - July 29, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 25, 2013 - July 29, 2016
TD AMERITRADE, INC.
October 15, 2013 - July 29, 2016
TD AMERITRADE, INC.
May 3, 2012 - October 18, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
March 29, 2012 - October 18, 2013
ALLSTATE FINANCIAL SERVICES, LLC
June 7, 2011 - January 13, 2012
STATE FARM VP MANAGEMENT CORP.
September 14, 2009 - September 25, 2009
FIFTH THIRD SECURITIES, INC.
September 14, 2009 - September 25, 2009
FIFTH THIRD SECURITIES, INC.
August 18, 2006 - August 4, 2009
LPL FINANCIAL LLC
August 18, 2006 - August 4, 2009
LPL FINANCIAL LLC
April 15, 2004 - August 31, 2006
CHARLES SCHWAB & CO., INC.
March 25, 2004 - August 31, 2006
CHARLES SCHWAB & CO., INC.
July 7, 2000 - March 9, 2004
LPL FINANCIAL LLC
June 12, 2000 - March 9, 2004
LPL FINANCIAL LLC
September 9, 1999 - June 20, 2000
WELLS FARGO SECURITIES INC.
August 29, 1997 - June 29, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 19, 1996 - September 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1993 - July 18, 1996
EDWARD JONES
October 30, 1991 - January 13, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 30, 1991 - January 13, 1992
PRUCO SECURITIES, LLC.
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
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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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