Jonathan W. Brooks
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2011 - November 21, 2012
HIGH STREET SECURITIES, INC.
January 4, 2011 - April 3, 2013
J. BROOKS FINANCIAL INC.
September 10, 2009 - November 28, 2011
SICOR SECURITIES INC
November 11, 2008 - February 24, 2009
SECURITIES AMERICA, INC.
March 15, 2002 - August 22, 2003
PFS INVESTMENTS INC.
December 22, 1999 - December 31, 2001
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
HIGH STREET SECURITIES, INC.
CRD#: 104201 / SEC#: , 8-52657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGH STREET ASSET MANAGEMENT, LLC | OWNER | |
| GRAFF, PAUL RICHARD | GENERAL SECURITIES PRINCIPAL - ASS'T TO DP | 1355392 |
| TERRY, JOHN LUDLOW III | CHIEF FINANCIAL OFFICER | 1972803 |
| TERRY, JOHN LUDLOW III | CHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 1972803 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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