Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cody? Claim Your ProfileCody O'neil Brooks is a financial advisor with Morgan Stanley, a firm with over $1.4 trillion in assets under management. Cody O'neil Brooks has been in the industry since October 2021 and has a Series 63, Series 7TO, Series 9, Series 10, and SIE license. Cody O'neil Brooks's previous experience includes time with E*TRADE SECURITIES LLC. Cody O'neil Brooks has a total of 54 approved state registrations for securities and investment advisory. Cody O'neil Brooks is registered with Morgan Stanley in the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Cody O'neil Brooks specializes in portfolio management for individuals, businesses, and investment companies. Cody O'neil Brooks also provides financial planning and selection of other advisors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
01/24/2023 - Present
Morgan Stanley (Sandy UT)
UT
10/28/2021 - 09/05/2023
E*TRADE SECURITIES LLC (SANDY UT)
BC
Issued 11/19/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/14/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/28/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/20/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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