Joseph K. Brooks
Professional summary
Joseph Kevin Brooks is a registered financial professional currently at INVESTORS BROKERAGE OF TEXAS, LTD. located in Waco, Texas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Kevin Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 1991 - Present
INVESTORS BROKERAGE OF TEXAS, LTD.
Office #1: 225 S. 5th St., Waco, TX 76701Office #2: 225 South 5th St., Waco, TX 76701State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/21/1993)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
INVESTORS BROKERAGE OF TEXAS, LTD.
CRD#: 13037 / SEC#: , 8-28644
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 88,879,830 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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