Stanley C. Brooks
Professional summary
Stanley Clifton Brooks was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stanley is a previously registered financial advisor and started their career in finance in 1971. Prior to being barred, Stanley had worked at 9 firms, which includes WEDBUSH SECURITIES INC., FIRST SECURITIES USA INC., BROOKSTREET SECURITIES CORPORATION, CITIZENS JMP SECURITIES LLC, TOLUCA PACIFIC SECURITIES CORP., J. W. GANT & ASSOCIATES INC., FIRST AFFILIATED SECURITIES INC., LPL FINANCIAL LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2007 - September 3, 2008
WEDBUSH SECURITIES INC.
July 31, 2001 - November 23, 2005
FIRST SECURITIES USA, INC.
May 7, 2001 - July 26, 2001
FIRST SECURITIES USA, INC.
February 14, 1996 - December 7, 2007
BROOKSTREET SECURITIES CORPORATION
December 4, 1992 - May 19, 1993
CITIZENS JMP SECURITIES, LLC
December 13, 1989 - June 24, 2008
BROOKSTREET SECURITIES CORPORATION
March 31, 1987 - November 28, 1989
TOLUCA PACIFIC SECURITIES CORP.
November 6, 1986 - December 17, 1986
J. W. GANT & ASSOCIATES, INC.
June 22, 1984 - September 17, 1986
FIRST AFFILIATED SECURITIES, INC.
November 3, 1976 - December 16, 1983
LPL FINANCIAL LLC
January 13, 1972 - November 22, 1976
WEDBUSH SECURITIES INC.
May 21, 1971 - May 17, 1972
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 1
Date: 5/10/1971
Registered Representative ExaminationF04
Date: 10/30/1978
Financial Principal ExaminationSeries 40
Date: 2/19/1977
Registered Principal ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
