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EB

Elizabeth Brooks

BRIGHTHOUSE SECURITIES
West Hartford, CT
Some features on this profile are disabled
CRD#: 6165949
EB

Professional summary

Elizabeth Brooks, who also goes by Elizabeth Ann Brooks, Elizabeth Ann Smyth, Elizabeth Smyth, is a registered financial professional currently at BRIGHTHOUSE SECURITIES, LLC located in West Hartford, Connecticut.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2013. Elizabeth has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Ann Brooks | Elizabeth Ann Smyth | Elizabeth Smyth

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 Elizabeth 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 24, 2018 - Present

BRIGHTHOUSE SECURITIES, LLC

BD
CRD#: 285300
West Hartford, CT
Past

June 29, 2017 - October 5, 2018

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

December 18, 2014 - June 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WILMINGTON, DE
Past

December 8, 2014 - June 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WILMINGTON, DE
Past

August 28, 2014 - October 27, 2014

M&T SECURITIES, INC.

RIA
CRD#: 17358
CLAYMONT, DE
Past

March 14, 2013 - October 27, 2014

M&T SECURITIES, INC.

BD
CRD#: 17358
CLAYMONT, DE

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
Montana
(10/24/2018)
RR
New Mexico
(12/18/2024)
RR
New York
(10/24/2018)
RR
North Carolina
(2/24/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BRIGHTHOUSE SECURITIES, LLC
BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300 / SEC#: , 8-69845

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

Main Address
11225 North Community House Road, Charlotte, NC 28277
Mailing Address
11225 North Community House Road, Charlotte, NC 28277
Phone number
(800) 848-3854
Established
Delaware since 02/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BRIGHTHOUSE HOLDINGS, LLCSOLE MEMBER (SHAREHOLDER)
BEAULIEU, PHILIP JOHNATHONVICE PRESIDENT5300540
DAVIS, MICHAEL BENJAMINVICE PRESIDENT1742347
LAMBERT, MYLES JOSEPHCHAIRMAN PRESIDENT AND CEO3107551
MACILVANE, KEVIN MICHAEL JRVICE PRESIDENT5164574
MARTINEZ, JOHN GREGORYPRINCIPAL FINANCIAL OFFICER2210722
MORGAN, JANET MARIEVICE PRESIDENT6770849
NIGRO, GERARD JOSEPHSENIOR VICE PRESIDENT1577003
PROHONIC, KRISTIN LEECHIEF COMPLIANCE OFFICER3048592

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

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300West Hartford, CT

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