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Ericka Leigh Ayles

BROOKWOOD SECURITIES PARTNERS
BEVERLY, MA
·CRD# 6530897·11 years experience

Professional Summary

Ericka Leigh Ayles, who also goes by Ericka Leigh Hagenaars, is a registered financial advisor currently at BROOKWOOD SECURITIES PARTNERS, LLC located in Beverly, Massachusetts. Ericka is registered as a RR (Registered Representative) and started their career in finance in 2015. Ericka has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ericka Leigh Hagenaars

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

11 years in the financial services industry

Current & Past Employments

BROOKWOOD SECURITIES PARTNERS, LLC·CRD# 35187
BD
1. 138 Conant Street, Beverly, MA 019152. 138 Conant Street, Beverly, MA 01915
November 2, 2015 - Present

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Current Firm

BS
BROOKWOOD SECURITIES PARTNERS, LLC

BROOKWOOD SECURITIES PARTNERS, L.P. | BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187 / SEC#: 8-46627
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

138 Conant Street, Beverly, MA 01915

Mailing Address

138 Conant Street, Beverly, MA 01915

Phone Number

(978) 720-7500

Established

Delaware since 05/17/1993

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (46 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BROOKWOOD FINANCIAL PARTNERS, LLCSOLE MEMBER—
AYLES, ERICKA LEIGHFINOP6530897
STROUSS, MARCIA GREILICHCHIEF COMPLIANCE OFFICER1365779
TRKLA, THOMAS NICHOLASCHAIRMAN, CHIEF EXECUTIVE OFFICER1238366

Disclosures

Regulatory Event

1

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Jan 2023About the SIE exam

Series 27 — Financial and Operations Principal Examination

Passed Nov 2015About the Series 27 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Ericka Leigh Ayles's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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