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Dee Dee Brooks

CRD# 2559233·Registered 1995 - 2018
Barred: Dee Dee Brooks was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Dee Dee Brooks, who also goes by Dee Dee Brooks, Deedee Brooks, Doris Dee Dee Brooks, Doris Takooshian, was a registered financial advisor. Dee Dee was a previously registered financial professional and started their career in finance 1995 - 2018. Dee Dee had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dee Dee Brooks, Deedee Brooks, Doris Dee Dee Brooks, Doris Takooshian

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years registered in the securities industry

Current & Past Employments

Past

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Past·CRD# 132070
RIA
Huntington, CA
August 9, 2018 - August 31, 2018
SIGNATOR INVESTORS, INC.Past·CRD# 468
RIA
Huntington Beach, CA
August 3, 2015 - June 7, 2018
SIGNATOR INVESTORS, INC.Past·CRD# 468
BD
Huntington Beach, CA
July 31, 2015 - June 7, 2018
SCF INVESTMENT ADVISORS, INC.Past·CRD# 123608
RIA
Fresno, CA
April 30, 2009 - July 31, 2015
SCF SECURITIES, INC.Past·CRD# 47275
BD
Huntington Beach, CA
April 1, 2009 - July 31, 2015
SIGNATOR INVESTORS, INC.Past·CRD# 468
BD
Irvine, CA
July 23, 2015 - July 23, 2015
OSAIC FS, INC.Past·CRD# 3870
RIA
Huntington Beach, CA
August 25, 2008 - April 7, 2009
OSAIC FS, INC.Past·CRD# 3870
BD
Huntington Beach, CA
August 14, 2003 - April 7, 2009
PMG SECURITIES CORPORATIONPast·CRD# 27107
BD
Elgin, IL
August 1, 2000 - December 31, 2002
INVESTORS BROKERAGE SERVICES, INC.Past·CRD# 4257
BD
Elgin, IL
January 21, 1999 - August 1, 2000
WMA SECURITIES, INC.Past·CRD# 32625
BD
Duluth, GA
April 17, 1997 - December 31, 1998
NYLIFE SECURITIES LLCPast·CRD# 5167
BD
New York, NY
February 14, 1995 - January 22, 1996

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Current Firm

GF
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

FINANCIAL DYNAMICS & ASSOCIATES, INC. | NFB PRIVATE CAPITAL | GLOBAL FINANCIAL PRIVATE CAPITAL, LLC | GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

CRD#: 132070 / SEC#: 801-63282

Contact Information

Main Address

501 North Cattlemen Road Suite 106, Sarasota, FL 34232

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/16/2020)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 1995About the Series 6 exam

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CRS (Client Relationship Summary)

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

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