Colin J. Brooklier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Colin John Brooklier, who also goes by Colin J Brooklier, Colin J. Brooklier, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2006. Colin had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2022 - December 11, 2024
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
March 12, 2020 - December 31, 2021
FRONTIER SOLUTIONS, LLC
June 4, 2011 - October 25, 2019
NUVEEN ASSET MANAGEMENT, LLC
August 25, 2008 - October 25, 2019
NUVEEN SECURITIES, LLC
June 22, 2007 - June 4, 2008
AMG DISTRIBUTORS, INC.
October 4, 2006 - June 8, 2007
TRADIER BROKERAGE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
CRD#: 157625 / SEC#: , 8-68856
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
