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JB

Jonathan W. Brooks

Some features on this profile are disabled
CRD#: 4039141
JB

Professional summary

Jonathan Warren Brooks was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jonathan is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Jonathan had worked at 5 firms, which includes HIGH STREET SECURITIES INC., J. BROOKS FINANCIAL INC., SICOR SECURITIES INC, SECURITIES AMERICA INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan W Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 2, 2011 - November 21, 2012

HIGH STREET SECURITIES, INC.

BD
CRD#: 104201
HOT SPRINGS, AR
Past

January 4, 2011 - April 3, 2013

J. BROOKS FINANCIAL INC.

RIA
CRD#: 151349
AIKEN, SC
Past

September 10, 2009 - November 28, 2011

SICOR SECURITIES INC

BD
CRD#: 16195
AIKEN, SC
Past

November 11, 2008 - February 24, 2009

SECURITIES AMERICA, INC.

BD
CRD#: 10205
DALLAS, TX
Past

March 15, 2002 - August 22, 2003

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

December 22, 1999 - December 31, 2001

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/10/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HS
HIGH STREET SECURITIES, INC.
EXPRSS SECURITIES, INC. | HIGH STREET SECURITIES, INC.

CRD#: 104201 / SEC#: , 8-52657

BD
Terminated by SEC on 01/12/2014
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Arkansas since 03/20/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HIGH STREET ASSET MANAGEMENT, LLCOWNER
GRAFF, PAUL RICHARDGENERAL SECURITIES PRINCIPAL - ASS'T TO DP1355392
TERRY, JOHN LUDLOW IIICHIEF FINANCIAL OFFICER1972803
TERRY, JOHN LUDLOW IIICHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER1972803

Disclosures

Regulatory Event1

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.

Company Information

HIGH STREET SECURITIES, INC.

CRD#: 104201

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