Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooke? Claim Your ProfileBrooke Justine Simmons is a financial professional with over 20 years of experience in the industry. Brooke is currently registered with LPL Financial LLC as a Registered Representative in California and Texas. Brooke has previously worked at UBS Financial Services Inc. and Citigroup Global Markets Inc. Brooke holds a variety of licenses and certifications, including Series 7, Series 9, Series 10, Series 63, and Series 66. Brooke specializes in providing financial planning and consulting services to a wide range of clients, including individuals, families, businesses, and retirement plans. Brooke offers a variety of services, including investment management, retirement planning, estate planning, and insurance.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
CA
04/26/2014 - Present
LPL Financial LLC (FRESNO CA)
CA
05/06/2004 - 03/03/2010
UBS FINANCIAL SERVICES INC. (FRESNO CA)
NY
10/21/1998 - 02/11/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 12/02/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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