Neil J. Brookes
Professional summary
Neil John Brookes, who also goes by Neil John Brookes Mr, is a registered financial professional currently at ELEQUIN SECURITIES LLC located in New York, New York.
Neil is registered as a RR (Registered Representative) and started their career in finance in 2004. Neil has worked at 5 firms and has passed the Series 57TO, SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil John Brookes's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2023 - Present
ELEQUIN SECURITIES LLC
Office #1: 1333 Broadway Suite 500, New York, NY 10018January 20, 2021 - March 31, 2022
SEA OTTER SECURITIES GROUP LLC
March 5, 2014 - December 1, 2020
BLUEFIN CAPITAL MANAGEMENT, LLC
September 6, 2005 - October 4, 2006
TD ARRANGED SERVICES LLC
May 7, 2004 - July 7, 2005
BOX CANYON TRADING LLC
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 3/5/2014
Proprietary Trader Qualification ExaminationCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
ELEQUIN SECURITIES LLC
CRD#: 311650 / SEC#: , 8-70654
Contact information
Documents
Red Flags
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