Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks Cory is a financial advisor who has been working in the industry since 2004. Cory is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative and has a series 7 and series 66 license. Cory is also a Certified Financial Planner. Cory has previous experience with A. G. Edwards & Sons, Inc., UBS Financial Services Inc., and Piper Jaffray & Co. Cory is registered in 29 states and provides investment consulting services to institutional clients as well as financial planning, pension consulting, selection of other advisors, and portfolio management for individuals 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.
Investment consulting services to institutional clients
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
SD
10/05/2020 - Present
Wells Fargo Clearing Services, LLC (SIOUX FALLS SD)
SD
09/29/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SIOUX FALLS SD)
SD
08/12/2006 - 10/10/2006
UBS FINANCIAL SERVICES INC. (SIOUX FALLS SD)
SD
08/02/2004 - 08/12/2006
PIPER JAFFRAY & CO. (SIOUX FALLS SD)
MN
05/17/2004 - 06/08/2004
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
BOTH
Issued 08/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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