Jennifer A. Brookfield
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.
Jennifer Alicia Brookfield, who also goes by Jennifer Harper, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1997. Jennifer had worked at 9 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - February 21, 2023
LOCORR DISTRIBUTORS, LLC
July 18, 2021 - April 19, 2022
HAMILTON LANE SECURITIES LLC
December 11, 2013 - July 16, 2021
IMST DISTRIBUTORS, LLC
June 28, 2012 - December 31, 2013
FORESIDE FUND SERVICES, LLC
June 25, 2012 - June 28, 2012
GRAND DISTRIBUTION SERVICES, LLC
March 24, 2005 - January 4, 2012
ICON DISTRIBUTORS, INC.
January 7, 2000 - May 9, 2003
BERGER DISTRIBUTORS LLC
May 16, 1998 - November 18, 1999
JANUS HENDERSON DISTRIBUTORS US LLC
October 16, 1997 - May 11, 1998
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
