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BB

Brent W. Braaksma

CABOT LODGE SECURITIES LLC
Niles, MI 49120
Some features on this profile are disabled
CRD#: 4598650
BB

Professional summary

Brent William Braaksma, who also goes by Brent William Braaksma, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Niles, Michigan.

Brent is registered as a RR (Registered Representative) and started their career in finance in 2002. Brent has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brent William Braaksma

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.
1) B Squared Property Management, LLC, Not investment related, Rental Properties, Edwardsburg, MI, Michigan Agent, 11/2012, 10 hour/month, 1-2 hours/ month during trading hours, collect rent, pay bills, rental property management. 2) Braaksma Family Farms, Not investment related, Family Farm, Niles, MI, Local representative for the family, 11/2012, 20 hours/month, 2 hours/month during trading hours, conduct business activities including find tenant, securing rental agreement, proptery management, mowing property, snow removal, hunting lease, etc. 3) Brent W. Braaksma, Fixed Insurance Business, Niles, MI, Insurance Agent, 8/2016, 6 hours/month, 1-2 hours/month during trading hours, Offer fixed insurance products where appropriate. 4) SB Advisory, LLC, formerly IFS Advisory, LLC, Investment related, Atlanta, GA, Registered Investment Advisor, 10/2016, less than 1 hour per month, less than 1 hour during trading hours, offer advisory services to clients.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brent William Braaksma'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

November 19, 2019 - Present

CABOT LODGE SECURITIES LLC

Office #1: 2815 N. 5th Street, Niles, MI 49120
BD
CRD#: 159712
Niles, MI
Past

January 15, 2021 - March 29, 2022

SB ADVISORY, LLC

RIA
CRD#: 154680
Niles, MI
Past

June 10, 2015 - December 31, 2020

SB ADVISORY, LLC

RIA
CRD#: 154680
Niles, MI
Past

June 10, 2015 - December 11, 2019

IFS SECURITIES

BD
CRD#: 40375
Niles, MI
Past

November 26, 2012 - June 17, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
NILES, MI
Past

November 21, 2012 - June 17, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
NILES, MI
Past

February 24, 2010 - November 23, 2012

EDWARD JONES

RIA
CRD#: 250
NILES, MI
Past

October 10, 2008 - November 23, 2012

EDWARD JONES

BD
CRD#: 250
NILES, MI
Past

May 30, 2008 - October 14, 2008

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
ST. JOSEPH, MI
Past

November 22, 2002 - June 6, 2008

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
NILES, MI

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
Indiana
(1/26/2022)
RR
Iowa
(1/27/2022)
RR
Michigan
(11/19/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/2002
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: 5/11/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/21/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

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

Main Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Phone number
(212) 388-6200
Established
Delaware since 10/21/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

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

CABOT LODGE SECURITIES LLC

CRD#: 159712Niles, MI 49120

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