Joseph P. 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.
Joseph Paschal Brooks III, who also goes by Joseph P Brooks III, Joseph P Brooks, Joseph Paschal Brooks, Paschal Brooks, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 2 firms and has passed the Series 63, Series 3, Series 7TO, Series 79TO, Series 7, Series 62, Series 24 and Series 30 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2023 - September 21, 2026
AON SECURITIES LLC
November 6, 2006 - November 28, 2011
GOLDMAN SACHS & CO. LLC
September 1, 2000 - July 8, 2003
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
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
What does exam status mean?
Series 7TO
Passed: 8/9/2023
General Securities Representative ExaminationSeries 79TO
Passed: 6/22/2023
Investment Banking Registered Representative ExaminationSeries 62
Passed: 8/31/2000
Current Firm
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AON GROUP, INC. | SHAREHOLDER | |
| AS HOLDINGS, INC. | SHAREHOLDER | |
| CHAMBLEY, JEFFREY TODD | DIRECTOR | 3129456 |
| DELANEY, WILLIAM LEO JR | DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001) | 1997937 |
| EHRHART, BRYON GERARD | DIRECTOR (05/2002) | 2932770 |
| MACKUNIS, KENNETH JAMES | DIRECTOR | 2612504 |
| MONAGHAN, KATHLEEN NICOLE | DIRECTOR | 6833059 |
| MORRIS, GREGORY PAUL | CHIEF COMPLIANCE OFFICER | 1317320 |
| PASALICH, MAGDALINE GARRIS | DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7143931 |
| PENNAY, RICHARD ERIK CHARLES | CEO (10/2024), DIRECTOR | 5475857 |
| WARD, BRYAN RICHARD | DIRECTOR | 3107835 |
Disclosures
| Regulatory Event | 3 |
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.
