Adam J. 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.
Adam Joseph Brooks was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1997. Adam had worked at 4 firms and has passed the Series 63 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
January 28, 2010 - December 31, 2019
BROOKS CAPITAL STRATEGIES
May 6, 2005 - December 31, 2013
COMMONWEALTH FINANCIAL NETWORK
May 6, 2005 - December 31, 2013
COMMONWEALTH FINANCIAL NETWORK
August 20, 2003 - May 9, 2005
OSAIC FA, INC.
September 5, 1997 - May 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 5, 1997 - May 9, 2005
OSAIC FA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKS CAPITAL STRATEGIES
CRD#: 152645 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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