Brandon J. Cook
Professional summary
Brandon John Cook was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brandon is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Brandon had worked at 3 firms, which includes CAPITOL SECURITIES MANAGEMENT INC., LEGG MASON WOOD WALKER INCORPORATED, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2005 - January 12, 2006
CAPITOL SECURITIES MANAGEMENT, INC.
June 29, 2005 - January 12, 2006
CAPITOL SECURITIES MANAGEMENT, INC.
February 16, 2000 - July 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
May 21, 1997 - July 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 1, 1996 - June 21, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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