Brooke T. Allen
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.
Brooke Thompson Allen, who also goes by Pamela Brooke Thompson, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 1998. Brooke had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2006 - November 20, 2014
OAK ADVISORS, LLC
March 3, 2004 - November 30, 2005
MELHADO, FLYNN & ASSOCIATES, INC.
May 20, 1998 - November 29, 1999
THE CONCORD EQUITY GROUP, LLC
Primary Firm SEC Registration
OAK ADVISORS, LLC
CRD#: 137192 / SEC#: 801-64842
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OAK ADVISORS, LLC
CRD#: 137192 / SEC#: 801-64842
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 284,739,465 |
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.
