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Seku N. Shabazz

GREAT LAKES RETIREMENT PLANNING LLC
CLEVELAND, OH 44114
Some features on this profile are disabled
CRD#: 5988727
SS

Professional summary

Seku N Shabazz, who also goes by Jason M Brooks, Jason Merideth Brooks, Seku Nkrumah Shabazz, is a registered financial advisor currently at GREAT LAKES RETIREMENT PLANNING LLC located in Cleveland, Ohio.

Seku is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Seku has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jason M Brooks | Jason Merideth Brooks | Seku Nkrumah Shabazz

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.
INVESTMENT ADVISER REPRESENTATIVE, GREAT LAKES RETIREMENT PLANNING, LLC. LICENSED INSURANCE AGENT, ASH BROKERAGE. MANAGING MEMBER, GREAT LAKES INVESTMENT PARTNERS, GP. OWNER AND PRESIDENT, GREAT LAKES LOAN SERVICING, LLC & GREAT LAKES FINANCING, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seku N Shabazz'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

November 13, 2017 - Present

GREAT LAKES RETIREMENT PLANNING LLC

Office #1: 1300 East 9th Street Suite 750, Cleveland, OH 44114
RIA
CRD#: 290434
CLEVELAND, OH
Past

October 18, 2018 - October 9, 2020

GREAT LAKES FINANCING, LLC

RIA
CRD#: 298790
CLEAVELAND, OH
Past

September 8, 2015 - October 24, 2017

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
MAYFIELD HEIGHTS, OH
Past

August 25, 2015 - October 24, 2017

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
MAYFIELD HEIGHTS, OH
Past

July 10, 2013 - July 1, 2015

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CLEVELAND, OH
Past

June 18, 2013 - July 1, 2015

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CLEVELAND, OH
Past

January 30, 2012 - June 6, 2013

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
CLEVELAND HTS., OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New Hampshire
(12/1/2020)
IAR
Ohio
(11/13/2017)
IAR
Texas
(7/3/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/3/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

GL
GREAT LAKES RETIREMENT PLANNING LLC
CLE RETIREMENT PLANNING | GREAT LAKES RETIREMENT PLANNING LLC | CLE RETIREMENT PLANNING LLC

CRD#: 290434 / SEC#:

New Hampshire
Registered Investment Advisory firm - (11/30/2020 Approved)
Ohio
Registered Investment Advisory firm - (11/13/2017 Approved)
Texas
Registered Investment Advisory firm - (7/3/2019 Conditional Restricted)
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Contact information

Main Address
1300 East 9th Street Suite 750, Cleveland, OH 44114
Mailing Address
Phone number
(216) 230-4643
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts72
AUM (Assets Under Management)$ 6,650,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
TexasERA - Withdrawn7/2/2019

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

GREAT LAKES RETIREMENT PLANNING LLC

CRD#: 290434Cleveland, OH 44114

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