John H. Brooks
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.
John Henry Brooks IV, who also goes by John Henry Brooks, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2012. John had worked at 5 firms and has passed the Series 66, 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
June 30, 2017 - October 2, 2017
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 5, 2016 - October 3, 2017
STONEX ADVISORS INC.
July 8, 2015 - June 30, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 11, 2014 - October 3, 2017
INTL ADVISORY CONSULTANTS INC.
December 6, 2012 - April 27, 2017
STERNE, AGEE & LEACH, 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
Exams
Current Firm
INTL CUSTODY & CLEARING SOLUTIONS INC.
CRD#: 23952 / SEC#: , 8-40771
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HARROD, PATRICIA MARIE | DIRECTOR | 6180887 |
| LYON, CHARLES MARTIN | CHIEF EXECUTIVE OFFICER | 4000852 |
| NGUYEN, XUONG THO | DIRECTOR | 2249867 |
| O'CONNOR, SEAN MICHAEL | DIRECTOR | 2534352 |
| SEPHTON, BRIAN TRIGGER | DIRECTOR | 4141441 |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
| WAGSTAFF, CONNER FRED III | CFO/TREASURER/FINOP | 1427591 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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