John Henry Brooks Iv
Professional Summary
John Henry Brooks IV, who also goes by John Henry Brooks, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2012 - 2017. John had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Henry Brooks
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
INTL CUSTODY & CLEARING SOLUTIONS INC. | STERNE AGEE CLEARING INC. | STERNE AGEE CLEARING INC | STERNE AGEE CLEARING | STERNE AGEE CAPITAL MARKETS, INC. | SAL FINANCIAL SERVICES, INC. | SAL FINANCIAL SERVICES
Contact Information
Established
Delaware since 01/22/2002Firm Type
CorporationFiscal Year End
SeptemberDocuments
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
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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