Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks Mayfield is a financial advisor currently registered with LPL Financial LLC and has been in the industry since May 9, 1994. Brooks has been registered with various firms throughout their career including Wells Fargo Clearing Services, LLC and Wachovia Securities, Inc. Brooks holds Series 63, Series 65, Series 7 and SIE licenses and is currently licensed in 20 states.
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
NC
03/06/2023 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
06/15/2002 - 03/07/2023
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
02/14/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
05/10/1994 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
IA
Issued 09/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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