Michael R. Brooks
Professional summary
Michael Robert Brooks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Michael had worked at 6 firms, which includes FOX & COMPANY INVESTMENTS INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 1994 - May 26, 2004
FOX & COMPANY INVESTMENTS INC.
July 31, 1993 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
January 25, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
January 7, 1992 - January 11, 1993
UBS FINANCIAL SERVICES INC.
February 27, 1991 - January 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 7, 1990 - January 8, 1991
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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