Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooke? Claim Your ProfileBrooke Brady is a financial advisor with Wells Fargo Clearing Services, LLC, a firm that provides investment services to a wide range of clients. Brooke has over 25 years of experience in the financial services industry. Brooke has licenses to operate in 27 states and has also passed several industry exams including Series 7, Series 63, Series 65 and the SIE. Brooke is experienced with investment consulting, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. Brooke has worked at several firms in the past including Credit Suisse Securities (USA) LLC and Donaldson, Lufkin & Jenrette Securities Corporation. Brooke is a registered investment advisor, and this means Brooke must act in the best interest of her clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
03/07/2016 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
01/17/2003 - 03/29/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
NJ
05/23/1996 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/14/1994 - 12/05/1995
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
IA
Issued 12/06/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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