Scott A. Brooks

BERENBERG CAPITAL MARKETS LLC

NEW YORK, NY 10020

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CRD#: 2602624

Professional summary

Scott Allen Brooks is a registered financial professional currently at BERENBERG CAPITAL MARKETS LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1995. Scott has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Scott Allen Brooks's CRS (Customer Relationship Summary).

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

Current

March 10, 2020 - Present

BERENBERG CAPITAL MARKETS LLC

Office #1: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

CRD#: 156757

NEW YORK, NY

Past

October 14, 2008 - February 25, 2020

BTIG, LLC

CRD#: 122225

New York, NY

Past

September 22, 2008 - October 22, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 19, 2000 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 8, 1999 - October 2, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 1, 1996 - March 29, 1999

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

May 16, 1995 - June 5, 1996

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/10/2020)

Florida
(3/10/2020)

Illinois
(3/10/2020)

Louisiana
(3/10/2020)

Maryland
(3/10/2020)

Massachusetts
(3/10/2020)

New York
(3/10/2020)

Ohio
(3/10/2020)

Oregon
(3/10/2020)

Tennessee
(3/10/2020)

Texas
(3/10/2020)

Virginia
(3/10/2020)

Washington
(3/10/2020)

Exams

State Security Law Exam

Series 63

Date: 4/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/31/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/15/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757 / SEC#: , 8-68821

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

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Contact information

Main Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Phone number

(646) 949-9000

Established

Delaware since 12/08/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BERENBERG ASSET MANAGEMENT LLC	MEMBER	171274
BRANTLY, ZACHARY DALTON	BOARD MEMBER	6343999
MURPHY, JOHN M	CHIEF COMPLIANCE OFFICER	1975663
SCHWARTAU, LARS	BOARD MEMBER	6483384
SHAMALOV, GREGORY	FINOP	7664290

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

Scott A. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Allen Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

BTIG, LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

PERSHING LLC

HSBC SECURITIES (USA) INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1997

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/31/2000

Series 7

Date: 5/15/1995

Series 24

Date: 7/26/2012

FINRA

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BERENBERG CAPITAL MARKETS LLC

TRUST BUT VERIFY

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