Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brooks? Claim Your ProfileBrooks Paulding Bartlett is an individual advisor working at Commonwealth Financial Network. Brooks has been in the financial services industry since 1977 and has been registered with Commonwealth Financial Network since 2016. Brooks is registered to provide securities and investment advisory services in Alabama, California, Connecticut, Florida, Indiana, Louisiana, Maine, Massachusetts, New Hampshire, New Jersey, New York, North Carolina and Rhode Island. Brooks also offers financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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
MA
10/04/2016 - Present
Commonwealth Financial Network (MASHPEE MA)
MA
11/14/2014 - 09/30/2016
SECURITIES AMERICA, INC. (FALMOUTH MA)
MA
11/23/2011 - 11/14/2014
SUNSET FINANCIAL SERVICES, INC. (FALMOUTH MA)
CT
10/17/2005 - 11/14/2011
METLIFE SECURITIES INC. (SHELTON CT)
RI
10/17/2005 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (PROVIDENCE RI)
NY
10/16/1982 - 03/22/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
NA
02/07/1974 - 11/27/1979
NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
BC
Issued 04/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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