Michael 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.
Michael Roger Brooks, who also goes by Michael R Brooks, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 8 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 22, 1994 - February 18, 2015
LORD, ABBETT & CO. LLC
April 17, 1990 - January 5, 2015
LORD ABBETT DISTRIBUTOR LLC
March 13, 1986 - March 27, 1990
UBS FINANCIAL SERVICES INC.
September 5, 1985 - February 11, 1986
MORGAN STANLEY DW INC.
August 28, 1984 - August 12, 1985
SANDAGE SECURITIES,INC.
June 21, 1979 - July 13, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LORD, ABBETT & CO. LLC
CRD#: 110391 / SEC#: 801-6997
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 5
Date: 11/11/1981
Interest Rate Options ExaminationSeries 8
Date: 8/26/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LORD, ABBETT & CO. LLC
CRD#: 110391 / SEC#: 801-6997
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 30,191 |
| AUM (Assets Under Management) | $ 238,757,080,041 |
Red Flags
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