Lionel Brooks
Professional summary
Lionel Brooks JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lionel is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Lionel had worked at 11 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, OPPENHEIMER & CO. INC., MORGAN STANLEY DW INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., EQUITY SERVICES INC., LINCOLN FINANCIAL DISTRIBUTORS INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2014 - January 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2013 - January 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2006 - June 17, 2009
OPPENHEIMER & CO. INC.
May 19, 2006 - June 17, 2009
OPPENHEIMER & CO. INC.
October 17, 2003 - May 19, 2006
MORGAN STANLEY DW INC.
July 21, 2003 - May 19, 2006
MORGAN STANLEY DW INC.
October 2, 2001 - March 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 1, 1999 - March 14, 2003
OSAIC FA, INC.
July 31, 1999 - March 14, 2003
OSAIC FA, INC.
November 11, 1998 - July 20, 1999
METROPOLITAN LIFE INSURANCE COMPANY
November 11, 1998 - July 20, 1999
MSI FINANCIAL SERVICES, INC.
February 10, 1997 - October 6, 1998
EQUITY SERVICES, INC.
February 10, 1994 - January 15, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 1, 1994 - January 1, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 1, 1994 - January 1, 1994
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
