Chadwick W. 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.
Chadwick Walker Brooks, who also goes by Chad W Brooks, was a registered financial professional .
Chadwick is a previously registered financial professional and started their career in finance in 1989. Chadwick had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 1995 - March 21, 1997
FIRST HEARTLAND CAPITAL, INC.
September 2, 1993 - April 23, 1995
ANDREW GARRETT INC.
January 22, 1992 - September 13, 1993
MUTUAL SERVICE CORPORATION
July 17, 1989 - January 23, 1992
WADDELL & REED
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
FIRST HEARTLAND CAPITAL, INC.
CRD#: 32460 / SEC#: , 8-46008
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
