linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Alex Christopher Brooks

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Alex? Claim Your Profile

About Alex Christopher Brooks

Alex Christopher Brooks is a financial advisor with over 25 years of experience in the industry. Alex is currently registered with Mizuho Securities USA LLC and CSP Securities, LP. Alex holds the Series 3, 7, 24, 63, 65, 79TO and SIE licenses. Alex has a strong track record of providing comprehensive financial advice to clients in Dallas, TX and across the country.

Firm Information

Alex Brooks is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Alex Brooks’s Registration & Firm History

TX

07/14/2023 - Present

Mizuho Securities USA LLC (Dallas TX)

TX

12/02/2005 - 08/08/2006

STERN FISHER EDWARDS INC (DALLAS TX)

NY

01/12/2000 - 07/25/2001

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

03/02/1998 - 01/10/2000

DAIN RAUSCHER INCORPORATED (NEW YORK NY)

NA

01/02/1998 - 03/02/1998

DAIN RAUSCHER INCORPORATED

TX

07/12/1996 - 01/02/1998

RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)

NY

06/09/1994 - 08/01/1996

SMITH BARNEY INC. (NEW YORK NY)

Not sure if Alex Christopher Brooks is right for you?

Licenses & Designations

BC

Issued 10/27/2005

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/24/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/09/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/1994

Series 3 - National Commodity Futures Examination

BC

Issued 06/08/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Alex Christopher Brooks. Review regulatory record here.
Not sure if Alex Christopher Brooks is right for you?