Milton P. Rooks
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.
Milton Parr Rooks JR., who also goes by Mills Rooks Jr, Mills Rooks, Milton P Rooks Jr, Milton Parr Rooks Jr, Milton Parr Rooks, was a registered financial advisor .
Milton is a previously registered financial advisor and started their career in finance in 1980. Milton had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3, Series 55, Series 5, Series 27, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2021 - December 22, 2023
MOODY CAPITAL SOLUTIONS, INC
April 28, 2014 - March 4, 2019
MOODY CAPITAL SOLUTIONS, INC
July 30, 2007 - July 6, 2009
FINANCIAL LEADERSHIP ADVISORS, INC.
July 30, 2002 - November 7, 2002
RUMSON CAPITAL, LLC
December 4, 2000 - October 1, 2002
SUNSTATE EQUITY TRADING
July 31, 2000 - November 10, 2000
MARKET WISE SECURITIES, LLC
September 16, 1999 - July 11, 2000
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 14, 1998 - October 15, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 1998 - April 29, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 18, 1997 - March 28, 1998
ADM SECURITIES, INC.
August 18, 1994 - June 27, 1995
NORTHEAST SECURITIES, LLC
February 4, 1991 - August 11, 1992
WACHOVIA SECURITIES, INC.
April 21, 1988 - September 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 1986 - February 10, 1987
THE ROBINSON-HUMPHREY COMPANY, LLC
January 19, 1980 - May 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 7/16/2021
Investment Banking Registered Representative ExaminationSeries 55
Date: 8/14/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 8
Date: 4/24/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
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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