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BH

Brooke L. Harris

PIMCO INVESTMENTS LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4435470
BH

Professional summary

Brooke Leahy Harris, who also goes by Brooke Elizabeth Leahy, Brooke Leahy, Brooke Leahy O'connor, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.

Brooke is registered as a RR (Registered Representative) and started their career in finance in 2001. Brooke has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brooke Elizabeth Leahy | Brooke Leahy | Brooke Leahy O'connor

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) - BD

Click below to view Brooke Leahy Harris's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 6, 2025 - Present

PIMCO INVESTMENTS LLC

Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131
BD
CRD#: 154957
Miami, FL
Past

August 1, 2020 - February 4, 2025

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
Durham, NC
Past

February 14, 2018 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
Durham, NC
Past

February 8, 2018 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
Durham, NC
Past

February 14, 2011 - April 11, 2017

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

February 24, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA
CRD#: 108057
STAMFORD, CT
Past

October 3, 2001 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/6/2025)
RR
California
(2/6/2025)
RR
Florida
(2/6/2025)
RR
New York
(2/6/2025)
RR
North Carolina
(2/6/2025)
RR
Tennessee
(2/6/2025)
RR
Texas
(2/6/2025)
RR
Virginia
(2/6/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC

CRD#: 154957 / SEC#: , 8-68686

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC INVESTMENT MANAGEMENT COMPANY LLCSOLE MEMBER104559
BENTLEY, JAMES DANIELMANAGER, BOARD OF MANAGERS5138093
BURG, ANTHONY ALANTREASURER6005184
DUBITZKY, YITZHAK ZVICHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER6897287
FERRARI, DAVID RICHARDPRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL6004690
HALL, GREGORY WESTONPRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS3111343
OGLESBY, SARAH JANESECRETARY7676855
PITTERS, CALEB JOSEPH ALEXANDER JRMANAGER, BOARD OF MANAGERS3198603
SUTHERLAND, ERIC MICHAELPRESIDENT & MANAGER, BOARD OF MANAGERS1724744
THOMAS, MARK GARETHHEAD OF BUSINESS MANAGEMENT2923871
TRACY, LAUREN RITAMANAGER, BOARD OF MANAGERS4027974
WHITTAKER, MEGAN HAYESAML COMPLIANCE OFFICER6442805

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

PIMCO INVESTMENTS LLC

CRD#: 154957Miami, FL 33131

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