Kori N. Brooks
Professional summary
Kori Noelle Brooks, who also goes by Kori Noelle Brooks, is a registered financial advisor currently at ENVESTNET PMC located in Denver, Colorado.
Kori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kori has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kori Noelle Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2024 - Present
ENVESTNET PMC
Office #1: 1801 California St. Suite 5200, Denver, CO 80202March 29, 2023 - September 27, 2023
ADVISORS ASSET MANAGEMENT, INC.
February 27, 2023 - September 27, 2023
ADVISORS ASSET MANAGEMENT, INC.
October 18, 2010 - April 2, 2019
WADDELL & REED
October 18, 2010 - April 2, 2019
IVY DISTRIBUTORS, INC.
June 28, 2002 - August 6, 2010
ALPS DISTRIBUTORS, INC.
June 28, 2000 - April 30, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/18/2024)
(11/18/2024)
Exams
Series 7TO
Date: 2/25/2023
General Securities Representative ExaminationCurrent Firm
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,021,610 |
| AUM (Assets Under Management) | $ 532,197,263,852 |
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.
