Dennis P. Brooks

CANACCORD GENUITY LLC

NEW YORK, NY 10119

Some features on this profile are disabled

CRD#: 4707154

Professional summary

Dennis Patrick Brooks is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2005. Dennis has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Dennis Patrick Brooks'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

October 29, 2019 - Present

CANACCORD GENUITY LLC

Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119

CRD#: 1020

NEW YORK, NY

Past

September 30, 2009 - November 11, 2019

WALLACHBETH CAPITAL LLC

CRD#: 147853

BOCA RATON, FL

Past

September 9, 2008 - October 5, 2009

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

December 7, 2007 - September 4, 2008

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

February 23, 2005 - December 21, 2007

POPLAR SECURITIES, LLC

CRD#: 129606

EAST HILLS, NY

State Registrations and Notice Filings

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

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

New Jersey
(10/29/2019)

New York
(10/29/2019)

Exams

State Security Law Exam

Series 63

Date: 4/17/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2007

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

CANACCORD GENUITY LLC

CRD#: 1020 / SEC#: , 8-3271

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Pennsylvania Plaza Suite 2900, New York, NY 10119

Mailing Address

1 Post Office Square, Boston, MA 02109

Phone number

(212) 389-8000

Established

Delaware since 02/26/2004

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CANACCORD ADAMS (DELAWARE) INC.	PARENT
ANDERSON, SCOTT WINFREE	CHIEF COMPLIANCE OFFICER	5800524
BARLOW, JEFFREY GRIFFIN	CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR	2277052
DAVIAU, DANIEL JOSEPH	NON- EXECUTIVE DIRECTOR	6096472
MACFAYDEN, DONALD DUNCAN	EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL	5390198
PARDI SQUITIERI, JENNIFER ELLEN	EXECUTIVE DIRECTOR	4922719
PROUD, EMILY PRESSMAN	CHIEF OPERATING OFFICER	5815542
TEIPNER, LARISSA KYLE	US GENERAL COUNSEL

Disclosures

Regulatory Event	45
Bond	1

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dennis P. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Patrick Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALLACHBETH CAPITAL LLC

SARATOGA CAPITAL MARKETS

TP ICAP GLOBAL MARKETS AMERICAS LLC

POPLAR SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2009

SIE

Date: 10/1/2018

Series 7

Date: 12/6/2007

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

CANACCORD GENUITY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CANACCORD GENUITY LLC

TRUST BUT VERIFY

Similar Advisors