Brooke C. Mccord
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.
Brooke Christell Mccord, who also goes by Brooke C Mccord, Brooke Mccord, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 2007. Brooke had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2019 - June 2, 2023
THE LEADERS GROUP, INC.
June 1, 2017 - June 29, 2017
J.P. MORGAN SECURITIES LLC
February 20, 2013 - January 27, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
October 1, 2012 - November 7, 2012
J.P. MORGAN SECURITIES LLC
May 8, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 7, 2007 - August 26, 2010
CHASE INVESTMENT SERVICES CORP.
February 13, 2007 - August 14, 2007
VANGUARD MARKETING CORPORATION
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
