Brooke C. Farley
Professional summary
Brooke Conaty Farley, who also goes by Brooke Elizabeth Conaty, Brooke Conaty Farley Mrs., Brooke Conaty Farley, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Brooke is registered as a RR (Registered Representative) and started their career in finance in 2003. Brooke has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brooke Conaty Farley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2013 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601June 17, 2011 - May 8, 2013
TANGENT CAPITAL PARTNERS, LLC
December 18, 2009 - June 14, 2011
ASHTON STEWART & CO., INC.
May 16, 2008 - November 16, 2010
SPOUTING ROCK CAPITAL ADVISORS, LLC
February 2, 2007 - May 16, 2008
SANDERS MORRIS LLC
April 12, 2005 - December 1, 2006
JUNIPER CAPITAL GROUP, LLC
October 15, 2003 - December 7, 2004
KATAMA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/25/2013)
(9/27/2024)
(9/27/2024)
(11/10/2017)
(9/27/2024)
(9/27/2024)
(1/25/2013)
(9/27/2024)
(9/27/2024)
(9/27/2024)
(9/27/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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