KB
Kenneth M. Brooks
ERNST & YOUNG CORPORATE FINANCE (CANADA)
Montreal, Quebec, H3A 0A8
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CRD#: 4727835
KB
Professional summary
Kenneth Michel Brooks is a registered financial professional currently at ERNST & YOUNG CORPORATE FINANCE (CANADA) INC. .
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2003. Kenneth has worked at 1 firm and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Michel Brooks's 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®
NoneExperience
Current
December 5, 2003 - Present
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
Office #1: 900 Boulevard De Maisonneuve Ouest Bureau 2300, Montreal, Quebec, H3A 0A8BD
CRD#: 126914
Montreal, Quebec,
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(11/6/2017)
RR
California(12/16/2003)
RR
Colorado(5/11/2011)
RR
Connecticut(4/27/2012)
RR
District of Columbia(3/1/2019)
RR
Florida(4/27/2012)
RR
Georgia(4/27/2012)
RR
Illinois(12/9/2009)
RR
Indiana(5/11/2011)
RR
Iowa(6/28/2024)
RR
Kentucky(6/28/2024)
RR
Louisiana(9/9/2024)
RR
Maryland(11/9/2017)
RR
Massachusetts(4/12/2013)
RR
Michigan(4/12/2013)
RR
Minnesota(4/12/2013)
RR
Missouri(11/9/2010)
RR
Nebraska(8/9/2024)
RR
New Jersey(4/27/2012)
RR
New York(12/9/2009)
RR
North Carolina(4/15/2013)
RR
Ohio(4/27/2012)
RR
Oklahoma(11/9/2017)
RR
Pennsylvania(4/27/2012)
RR
South Carolina(11/9/2010)
RR
Tennessee(7/17/2025)
RR
Texas(4/27/2012)
RR
Utah(6/28/2024)
RR
Virginia(11/9/2017)
RR
Washington(4/27/2012)
RR
Wisconsin(4/27/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
E&
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC. | EY CORPORATE FINANCE (CANADA)
CRD#: 126914 / SEC#: , 8-65929
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
100 Adelaide Street West, Ey Tower, Toronto, Ontario, M5H 0B3
Mailing Address
100 Adelaide Street West, Ey Tower Po Box 1, Toronto, Ontario, M5H 0B3
Phone number
(416) 943-3101
Established
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Red Flags
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Company Information
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
CRD#: 126914Montreal, Quebec, H3A 0A8TRUST BUT VERIFY
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