Dillon 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.
Dillon Brooks was a registered financial professional .
Dillon is a previously registered financial professional and started their career in finance in 2022. Dillon had worked at 2 firms and has passed the Series 66, 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
January 27, 2023 - August 24, 2023
FINTRUST CAPITAL ADVISORS, LLC
December 12, 2022 - August 24, 2023
FINTRUST BROKERAGE SERVICES, LLC
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: 12/12/2022
General Securities Representative ExaminationCurrent Firm
FINTRUST CAPITAL ADVISORS, LLC
CRD#: 145460 / SEC#: 801-68568
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,968 |
| AUM (Assets Under Management) | $ 1,743,952,383 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2023 | ||
| 10/28/2022 | ||
| 12/07/2021 |
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.
