Donald G. 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.
Donald Gillies Brooks, who also goes by Don Brooks, Donald Gillis Brooks, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1974. Donald had worked at 9 firms and has passed the Series 63, Series 15, Series 1, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 1999 - January 25, 2000
EMMETT A LARKIN COMPANY, INC.
September 30, 1998 - July 13, 1999
EQUITY PROGRAMS CORPORATION
February 11, 1993 - October 1, 1999
SPECTRUM SECURITIES, INC.
October 28, 1991 - September 1, 1994
ROSE SECURITIES CORPORATION
April 30, 1991 - February 25, 1993
FINANCIAL WEST GROUP
March 22, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
December 15, 1988 - February 11, 1989
EMMETT A LARKIN COMPANY, INC.
May 12, 1987 - November 21, 1988
FIRST AFFILIATED SECURITIES, INC.
September 26, 1978 - May 13, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 1/14/1991
Foreign Currency Options ExaminationSeries 1
Date: 9/9/1974
Registered Representative ExaminationCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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