Brooks W. Grace
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.
Brooks Winston Grace was a registered financial professional .
Brooks is a previously registered financial professional and started their career in finance in 1980. Brooks had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 1987 - November 12, 1987
ENGLER-BUDD & COMPANY INC.
February 27, 1986 - April 22, 1987
HEINER & STOCK, INC.
May 10, 1985 - February 22, 1986
ROBERT S. C. PETERSON, INC.
August 2, 1984 - May 2, 1985
ENGLER-BUDD & COMPANY INC.
March 12, 1984 - August 7, 1984
MORGAN STANLEY DW INC.
May 9, 1983 - April 2, 1984
BECKER PARIBAS INCORPORATED
November 24, 1980 - May 6, 1983
JOHN G. KINNARD AND COMPANY, 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
Current Firm
ENGLER-BUDD & COMPANY INC.
CRD#: 1743 / SEC#: , 8-9810
Contact information
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.
