Darrell H. Brookstein
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.
Darrell Howard Brookstein was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 1976. Darrell had worked at 3 firms and has passed the Series 63, Series 7, Series 3, Series 24, F04 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1995 - January 2, 1997
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
June 15, 1987 - January 27, 1988
FIRST SECURITIES NORTHWEST, INC.
December 2, 1976 - June 4, 1987
FIRST GEORGETOWN SECURITIES, 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
F04
Date: 7/10/1979
Financial Principal ExaminationCurrent Firm
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
CRD#: 35878 / SEC#: , 8-47039
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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