Brooke A. Bors
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 Amber Bors, who also goes by Brooke Amber Wano, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 2012. Brooke had worked at 3 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 21, 2016 - April 24, 2019
FSA WEALTH PARTNERS
January 28, 2015 - December 11, 2015
M&T SECURITIES, INC.
November 5, 2013 - December 11, 2015
M&T SECURITIES, INC.
August 14, 2012 - November 11, 2013
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
FSA WEALTH PARTNERS
CRD#: 104513 / SEC#: 801-18801
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
FSA WEALTH PARTNERS
CRD#: 104513 / SEC#: 801-18801
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,964 |
| AUM (Assets Under Management) | $ 770,176,152 |
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.
