Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooke? Claim Your ProfileBrooke Randall Smith is a financial advisor with over 20 years of experience in the financial services industry. Brooke is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. Brooke has been registered with this firm since December 2015 and holds a Series 7, Series 63, and Series 66 license. Brooke has worked with several firms prior to Tiaa-Cref, including First Western Advisors, Fidelity Brokerage Services LLC, and Fidelity Investments Institutional Services Company, Inc. Brooke's experience and expertise allows to provide a wide range of financial services to individual and institutional 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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
UT
12/18/2015 - Present
Tiaa-Cref Individual & Institutional Services, LLC (SALT LAKE CITY UT)
UT
04/30/2014 - 05/15/2015
FIRST WESTERN ADVISORS (HOLLADAY UT)
UT
01/01/2008 - 02/21/2014
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
01/05/1996 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)
RI
11/12/1993 - 12/31/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 07/17/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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