Dee Dee Brooks
Professional summary
Dee Dee Brooks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dee Dee is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Dee Dee had worked at 9 firms, which includes GLOBAL FINANCIAL PRIVATE CAPITAL INC., SIGNATOR INVESTORS INC., SCF INVESTMENT ADVISORS INC., SCF SECURITIES INC., OSAIC FS INC., PMG SECURITIES CORPORATION, INVESTORS BROKERAGE SERVICES INC., WMA SECURITIES INC., NYLIFE SECURITIES LLC.
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Aliases
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2018 - August 31, 2018
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
August 3, 2015 - June 7, 2018
SIGNATOR INVESTORS, INC.
July 31, 2015 - June 7, 2018
SIGNATOR INVESTORS, INC.
July 23, 2015 - July 23, 2015
SIGNATOR INVESTORS, INC.
April 30, 2009 - July 31, 2015
SCF INVESTMENT ADVISORS, INC.
April 1, 2009 - July 31, 2015
SCF SECURITIES, INC.
August 25, 2008 - April 7, 2009
OSAIC FS, INC.
August 14, 2003 - April 7, 2009
OSAIC FS, INC.
August 1, 2000 - December 31, 2002
PMG SECURITIES CORPORATION
January 21, 1999 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
April 17, 1997 - December 31, 1998
WMA SECURITIES, INC.
February 14, 1995 - January 22, 1996
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
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