Brooke C. Jones
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.
Brooke C Jones, who also goes by Brooke Cobb, Rebecca Brooke Cobb, Brooke Cobb Jones, Rebecca Brooke Jones, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 1999. Brooke had worked at 5 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2017 - April 24, 2020
BROOKLANDS CAPITAL STRATEGIES BD, LP
July 14, 2014 - January 9, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2009 - July 31, 2014
CITIGROUP GLOBAL MARKETS INC.
June 18, 2007 - October 27, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 2, 2006 - August 22, 2006
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 2000 - July 14, 2005
CREDIT SUISSE SECURITIES (USA) LLC
July 8, 1999 - May 1, 2000
UST FINANCIAL SERVICES CORP.
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 7TO
Date: 3/14/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/14/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BROOKLANDS CAPITAL STRATEGIES BD, LP
CRD#: 281951 / SEC#: , 8-69696
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKLANDS CAPITAL STRATEGIES MANAGEMENT, L.P. | LIMITED PARTNER | |
| BROOKLANDS CAPITAL STRATEGIES (GP), LLC | GENERAL PARTNER | |
| CARROLL, DANIEL ASHTON | MANAGING PARTNER | 1549544 |
| DEMAYO, JILL ELLEN | CHIEF COMPLIANCE OFFICER | 2843305 |
| EKBERG, JEFFERY DAVID | FINOP | 6499537 |
| MCMILLAN, PETER HAMIL | CEO & MANAGING PARTNER | 1148731 |
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.
