Anne M. Brooks
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.
Anne Mary Brooks, who also goes by Anne Mary Belt, Anne Brooks, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 2012. Anne had worked at 1 firm and has passed the Series 63, Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2012 - January 2, 2018
JAMES CAPITAL ALLIANCE INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 2
Date: 9/6/1996
Non-Member General Securities ExaminationCurrent Firm
JAMES CAPITAL ALLIANCE INC
CRD#: 107078 / SEC#: 801-42655
Contact information
Red Flags
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