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DB

Donald R. Brooks

Some features on this profile are disabled
CRD#: 1881194
DB

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.

Donald Ray Brooks JR., who also goes by Donald Ray Brooks, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2006. Donald had worked at 1 firm and has passed the Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Ray Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 2006 - April 14, 2014

STONERIDGE CAPITAL GROUP, LLC

BD
CRD#: 136211
MINNETONKA, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 10/3/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2005
General Securities Principal Examination

Current Firm

SC
STONERIDGE CAPITAL GROUP, LLC
STONERIDGE CAPITAL GROUP, LLC

CRD#: 136211 / SEC#: , 8-66987

BD
Terminated by SEC on 04/12/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 10/25/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKS, DONALD RAYPARTNER
WILFERT, MARK RICHARDMANAGING DIRECTOR, EXECUTIVE MANAGER, FINOP, DIRECTOR OF COMPLIANCE

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STONERIDGE CAPITAL GROUP, LLC

CRD#: 136211

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