Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooke? Claim Your ProfileBrooke Miller is a financial advisor with RBC Capital Markets, LLC, and has been in the industry since 2010. Brooke is a registered representative with the Securities Industry Essentials (SIE) Examination, Series 7 Examination, Series 9 Examination, Series 10 Examination, and the Uniform Combined State Law Examination (Series 66). Brooke is also registered with the Financial Industry Regulatory Authority (FINRA). Brooke has a wealth of experience in the financial services industry and is committed to providing her clients with the best possible service.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
KS
10/04/2022 - Present
RBC Capital Markets, LLC (LEAWOOD KS)
FL
10/27/2021 - 09/13/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAINT PETERSBURG FL)
FL
01/05/2021 - 10/04/2021
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
IA
03/24/2015 - 10/08/2020
RAYMOND JAMES & ASSOCIATES, INC. (West Des Moines IA)
IL
01/19/2012 - 03/24/2015
CHARLES SCHWAB & CO., INC. (CHICAGO IL)
AZ
10/05/2009 - 01/13/2012
AMERIPRISE FINANCIAL SERVICES, INC. (SCOTTSDALE AZ)
AZ
09/29/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SCOTTSDALE AZ)
BOTH
Issued 06/15/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/24/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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