Brooke Williams
Professional summary
Brooke Williams is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Brooke is registered as a RR (Registered Representative) and started their career in finance in 2007. Brooke has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brooke Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262February 28, 2018 - December 31, 2018
RAYMOND JAMES & ASSOCIATES, INC.
February 28, 2018 - December 31, 2018
RAYMOND JAMES & ASSOCIATES, INC.
May 28, 2010 - February 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
May 27, 2010 - February 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2009 - May 17, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 7, 2009 - May 17, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - April 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 4, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 18, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 12, 2007 - April 10, 2007
TD AMERITRADE, 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
(7/6/2020)
(6/8/2020)
(7/6/2020)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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