Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooke? Claim Your ProfileBrooke Lea Bergrud is a financial advisor registered with Oppenheimer & Co. Inc. Brooke has over 20 years of experience in the financial services industry. Brooke is registered to provide investment advisory services in Colorado and New York. Before joining Oppenheimer & Co. Inc., Brooke was with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Banc One Securities Corporation and Charles Schwab & Co., Inc. Brooke has a broad range of experience in serving the needs of individuals, families, and businesses.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CO
04/07/2021 - Present
Oppenheimer & Co. Inc. (DENVER CO)
CO
06/01/2009 - 11/29/2011
MORGAN STANLEY SMITH BARNEY (DENVER CO)
CO
11/22/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DENVER CO)
IL
01/29/2001 - 10/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
06/07/2000 - 12/01/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 07/27/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/25/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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