Jeffrey R. 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.
Jeffrey Roy Brooks was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1979. Jeffrey had worked at 8 firms and has passed the Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 1991 - March 23, 1993
JEFFREY BROOKS
April 2, 1984 - November 15, 1993
JEFFREY BROOKS SECURITIES INC.
January 13, 1984 - April 16, 1984
VANDERBILT SECURITIES, INC.
July 22, 1983 - February 1, 1984
LADENBURG THALMANN & CO. INC.
May 10, 1983 - July 13, 1983
DOMESTIC ARBITRAGE GROUP, INC.
February 18, 1982 - April 26, 1983
ADVEST, INC.
January 29, 1982 - February 10, 1982
FINANCIAL SQUARE PARTNERS
May 24, 1979 - January 19, 1982
JSC SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JEFFREY BROOKS
CRD#: 27860 / SEC#: , 8-43248
Contact information
Documents
Red Flags
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