Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks McCartney is an active registered representative with Raymond James & Associates, Inc. based in Kirkland, Washington. Brooks has been working in the financial services industry since December 1990. Brooks also holds a Series 65 registration which allows them to provide investment advisory services. Brooks has experience working for a variety of firms such as LPL FINANCIAL LLC, DESTRA CAPITAL INVESTMENTS LLC, JANUS HENDERSON DISTRIBUTORS, HINES REAL ESTATE SECURITIES, INC., NATIONWIDE INVESTMENT SERVICES CORPORATION, and more.
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.
Please see note in schedule d - miscellaneous
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
WA
10/14/2021 - Present
Raymond James & Associates, Inc. (Kirkland WA)
WA
11/05/2018 - 10/20/2021
LPL FINANCIAL LLC (SPOKANE WA)
MT
06/01/2018 - 11/06/2018
DESTRA CAPITAL INVESTMENTS LLC (BOZEMAN MT)
CO
10/19/2005 - 01/12/2018
JANUS HENDERSON DISTRIBUTORS (DENVER CO)
TX
04/30/2004 - 06/23/2005
HINES REAL ESTATE SECURITIES, INC. (HOUSTON TX)
OH
12/16/2003 - 04/02/2004
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
NC
01/01/2003 - 12/03/2003
BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)
AR
05/06/2002 - 01/01/2003
STEPHENS INC. (LITTLE ROCK AR)
TX
03/03/1997 - 05/06/2002
VAN KAMPEN FUNDS INC. (HOUSTON TX)
OH
02/21/1996 - 03/04/1997
KEY INVESTMENTS INC. (CLEVELAND OH)
UT
02/01/1993 - 02/21/1996
FIRST SECURITY INVESTOR SERVICES, INC. (SALT LAKE CITY UT)
NY
02/20/1990 - 01/12/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
02/20/1990 - 01/12/1993
EQUITABLE VARIABLE LIFE INSURANCE COMPANY (NEW YORK NY)
NY
02/20/1990 - 01/12/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 08/27/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1993
Series 7 - General Securities Representative Examination
BC
Issued 01/26/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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