James M. Brooks
Professional summary
James Mark Brooks, who also goes by J Mark Brooks, James M Brooks, Mark Brooks, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mark Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2015 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262January 17, 2012 - April 7, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
January 13, 2005 - July 20, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
November 24, 1993 - January 14, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/13/2023)
(1/15/2025)
(4/8/2015)
(1/15/2025)
(1/15/2025)
(1/15/2025)
(1/15/2025)
(2/11/2022)
(1/15/2025)
(1/15/2025)
(4/8/2015)
(1/15/2025)
(8/20/2024)
(4/8/2015)
(4/8/2015)
(1/15/2025)
(4/8/2015)
(1/15/2025)
(1/15/2025)
Exams
FINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
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.
