Brooke Hicks
Professional summary
Brooke Hicks is a registered financial professional currently at JONES LANG LASALLE SECURITIES, LLC located in New York, New York.
Brooke is registered as a RR (Registered Representative) and started their career in finance in 2021. Brooke has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brooke Hicks's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2024 - Present
JONES LANG LASALLE SECURITIES, LLC
Office #1: 330 Madison Avenue 4th Floor, New York, NY 10017Office #2: 2401 Cedar Springs Suite 100, Dallas, TX 75201November 12, 2021 - March 9, 2023
HOULIHAN LOKEY 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
(8/20/2024)
Exams
Series 79TO
Date: 11/12/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
JONES LANG LASALLE SECURITIES, LLC
CRD#: 120738 / SEC#: , 8-65341
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES LANG LASALLE AMERICAS, INC. | DIRECT OWNER | |
| JOSEPH, MICHAEL SCOTT | MANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER | 4231268 |
| CASHDAN, DANIEL MICHAEL | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | 1910672 |
| DORFMAN, ESTEE CARLA | PRINCIPAL FINANCIAL OFFICER | 2696529 |
| DORFMAN, ESTEE CARLA | FINANCIAL OPERATIONS PRINCIPAL | 2696529 |
| DOWNING, JAMES ROTH | PRINCIPAL OPERATIONS OFFICER | 5514806 |
| DOWNING, JAMES ROTH | CHIEF COMPLIANCE OFFICER | 5514806 |
Red Flags
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