Thomas H. 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.
Thomas H Brooks, ChFC®, CLU®, who also goes by Thomas Harlan Brooks, Tom Brooks, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2024 - November 7, 2024
PACIFIC SELECT DISTRIBUTORS, LLC
June 2, 2023 - August 30, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 6, 2022 - June 1, 2023
P.J. ROBB VARIABLE, LLC
April 14, 2021 - May 26, 2022
LION STREET FINANCIAL, LLC
October 16, 2017 - April 1, 2021
SAYBRUS EQUITY SERVICES, LLC
May 21, 2003 - September 4, 2008
STATE FARM VP MANAGEMENT CORP.
July 16, 1999 - June 26, 2002
ALLSTATE FINANCIAL SERVICES, LLC
February 24, 1993 - April 30, 1999
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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