Carl A. 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.
Carl Alan Brooks was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1976. Carl had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 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
December 31, 2001 - August 30, 2018
CARROLL FINANCIAL ASSOCIATES INC
July 18, 1994 - August 28, 2018
CETERA WEALTH SERVICES, LLC
January 2, 1990 - July 18, 1994
KEOGLER, MORGAN & COMPANY, INC.
May 19, 1988 - December 31, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 11, 1980 - May 23, 1988
MARION BASS SECURITIES CORPORATION
November 1, 1979 - December 28, 1980
PW SECURITIES, INC.
April 24, 1978 - March 1, 1980
DERAND/PENNINGTON/BASS, INC.
June 17, 1976 - May 6, 1978
ECONOMIC RESEARCH ANALYSTS, 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 1
Date: 6/14/1976
Registered Representative ExaminationSeries 8
Date: 8/2/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARROLL FINANCIAL ASSOCIATES INC
CRD#: 105427 / SEC#: 801-15517
Contact information
Red Flags
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