Kevin E. Brooks

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CRD#: 2460199

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.

Kevin Edward Brooks, who also goes by Kevin Edward Brooks, Kevin E Brooks, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 10 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Edward Brooks | Kevin E Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 4, 2024 - November 7, 2025

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

September 12, 2018 - January 21, 2020

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

LONG BEACH, NY

Past

February 17, 2017 - September 12, 2018

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

June 29, 2011 - July 18, 2017

NEW CENTURY CAPITAL PARTNERS, INC.

CRD#: 147071

NEW YORK, NY

Past

October 21, 2009 - July 26, 2011

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

December 21, 2007 - June 3, 2008

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

February 22, 2005 - November 23, 2007

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

October 1, 2002 - January 14, 2005

KEVIN DANN & PARTNERS, LLC

CRD#: 113591

NEW YORK, NY

Past

March 2, 2000 - September 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

August 20, 1999 - September 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 19, 1998 - June 10, 1999

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

May 22, 1996 - December 4, 1997

NEOVEST TRADING

CRD#: 39798

NEW YORK, NY

Past

May 21, 1996 - June 12, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 5/20/1996

General Securities Representative Examination

Current Firm

BRADLEY WOODS & CO. LTD.

BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

845 Third Ave, Suite 1703, New York, NY 10022

Mailing Address

845 Third Ave, Suite 1703, New York, NY 10022

Phone number

(212) 826-9191

Established

Delaware since 11/01/2004

Firm type

Corporation

Fiscal year end

February

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RIPP, DANIEL S	CEO, CFO	1398164
SHEA, PATRICK OFARRELL	CHIEF COMPLIANCE OFFICER	838154
YEE, DEREK BRIAN	COO	6911274

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Kevin E. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARDOUR CAPITAL INVESTMENTS, LLC

BRADLEY WOODS & CO. LTD.

NEW CENTURY CAPITAL PARTNERS, INC.

BRADLEY WOODS & CO. LTD.

NATIONAL SECURITIES CORPORATION

PALI CAPITAL, INC.

KEVIN DANN & PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

C. L. KING & ASSOCIATES, INC.

NEOVEST TRADING

THE ROBINSON-HUMPHREY COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1996

SIE

Date: 10/1/2018

Series 87

Date: 3/24/2005

Series 7

Date: 5/20/1996

Current Firm

BRADLEY WOODS & CO. LTD.

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BRADLEY WOODS & CO. LTD.

TRUST BUT VERIFY

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