Brooke J. Jordan
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.
Brooke Justine Jordan, who also goes by Brooke Justine Jordon, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 2019. Brooke had worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - December 31, 2021
LIGHTPATH CAPITAL, 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 7TO
Date: 10/25/2019
General Securities Representative ExaminationCurrent Firm
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
