Georgia A. 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.
Georgia Anne Brooks, who also goes by Georgia Brooks, Gergia Brooks, Georgia Anne Milton, was a registered financial professional .
Georgia is a previously registered financial professional and started their career in finance in 1980. Georgia had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2017 - January 3, 2019
PENSERRA SECURITIES, LLC
July 13, 2016 - May 18, 2017
CHEEVERS & COMPANY, LLC
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
March 1, 2012 - April 20, 2015
STERNE, AGEE & LEACH, INC.
March 8, 2005 - December 14, 2011
JEFFERIES LLC
April 13, 2004 - March 16, 2005
BANC OF AMERICA SECURITIES LLC
July 1, 2003 - January 6, 2004
WELLS FARGO SECURITIES, LLC
November 28, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1980 - October 22, 2001
CITIGROUP GLOBAL MARKETS 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
Series 55
Date: 8/6/2003
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
