Lowell S. 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.
Lowell Scott Brooks III, who also goes by L Scott Brooks, Lowell S Brooks III, Lowell Scott Brooks, Scott Brooks, was a registered financial professional .
Lowell is a previously registered financial professional and started their career in finance in 1989. Lowell had worked at 8 firms and has passed the Series 63, Series 65, Series 3, Series 7 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
July 17, 2020 - August 30, 2024
REALBLOCKS PRIVATE SECURITIES, INC.
August 22, 2019 - August 6, 2020
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
August 26, 2014 - January 29, 2015
SEI INVESTMENTS DISTRIBUTION CO.
March 19, 2010 - July 19, 2013
DWS DISTRIBUTORS, INC.
June 1, 2009 - October 23, 2009
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 19, 2007 - January 13, 2009
JPMORGAN DISTRIBUTION SERVICES, INC.
August 23, 2006 - October 16, 2007
AMG DISTRIBUTORS, INC.
October 25, 1989 - May 3, 2006
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Exams
Current Firm
REALBLOCKS PRIVATE SECURITIES, INC.
CRD#: 306101 / SEC#: , 8-70443
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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