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Michael J. Brooks

P & M CORPORATE FINANCE
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5748879
MB

Professional summary

Michael Joseph Brooks is a registered financial professional currently at P & M CORPORATE FINANCE, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph 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®
None

Experience

Current

October 23, 2014 - Present

P & M CORPORATE FINANCE, LLC

Office #1: 10 South Riverside Plaza 9th Floor, Chicago, IL 60606
BD
CRD#: 129624
CHICAGO, IL
Past

January 17, 2012 - February 13, 2012

OPTIONSHOUSE1, LLC

BD
CRD#: 135625
CHICAGO, IL
Past

January 7, 2011 - August 16, 2011

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
CHICAGO, IL
Past

January 7, 2011 - August 16, 2011

CRI SECURITIES, LLC

RIA
CRD#: 22589
CHICAGO, IL
Past

August 17, 2010 - August 16, 2011

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
CHICAGO, IL
Past

August 17, 2010 - August 16, 2011

CRI SECURITIES, LLC

BD
CRD#: 22589
CHICAGO, IL

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
Illinois
(10/27/2014)
RR
Michigan
(11/20/2014)
RR
Ohio
(1/3/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/23/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

P&
P & M CORPORATE FINANCE, LLC
P & M CORPORATE FINANCE, LLC | PMCF

CRD#: 129624 / SEC#: , 8-66239

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
10 South Riverside Plaza 9th Floor, Chicago, IL 60606
Mailing Address
10 South Riverside Plaza 9th Floor, Chicago, IL 60606
Phone number
(312) 602-3583
Established
Michigan since 11/21/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PMCF HOLDING COMPANY, LLCOWNER
BARBER, PAMELA JOYCFO5489840
BARBER, PAMELA JOYPFO, POO, FINOP5489840
HART, JOHN DANIELMANAGING DIRECTOR, TREASURER AND SECRETARY, BOARD MEMBER4967611
JAMISON, MATTHEW GORDONMANAGING DIRECTOR, BOARD MEMBER, PRESIDENT4644597
LESSER, JOHN JAMESBOARD MEMBER4454195
MD HOLDCO, LLCMANAGING MEMBER
P & M HOLDING GROUP, LLPPARENT MEMBER
WAGNER, JOSEPH DONALDMANAGING DIRECTOR, BOARD MEMBER4749753
WISNIEWSKI, CAROLINE ELIZABETHCHIEF COMPLIANCE OFFICER1463513

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.

Company Information

P & M CORPORATE FINANCE, LLC

CRD#: 129624Chicago, IL 60606

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