Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks Andrew Hastings has been an active financial advisor since May 1997. Brooks has a strong background in the industry with prior experience at firms such as Wells Fargo Clearing Services, LLC, A.G. Edwards & Sons, Inc. and Smith Barney Inc. Currently, Brooks is registered with LPL Financial LLC in Latham, NY and Port St Lucie, FL and holds Series 7, 31, 63, 65 and SIE licenses. Brooks specializes in serving individuals, corporations, high-net-worth individuals, investment clubs, charitable organizations and pension and profit-sharing plans.
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.
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2
NY
08/03/2021 - Present
LPL Financial LLC (LATHAM NY)
NY
01/01/2008 - 08/06/2019
WELLS FARGO CLEARING SERVICES, LLC (ALBANY NY)
NY
07/10/1998 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ALBANY NY)
NY
09/25/1997 - 07/22/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
05/22/1997 - 09/22/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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