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Colin R Brooks

Morgan Stanley & Co. LLC

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About Colin R Brooks

Colin R. Brooks is a financial advisor who has been in the industry since 2004. Colin is currently registered with Morgan Stanley & Co. LLC and has previously worked for Morgan Stanley. Colin has a strong track record of success in the financial services industry and is committed to providing his clients with personalized financial advice and guidance. Colin holds the Series 3, 7, 63, and 65 licenses, as well as the SIE exam. Colin is registered to conduct business in all 50 states.

Firm Information

Colin Brooks is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Colin Brooks’s Registration & Firm History

FL

09/29/2017 - Present

Morgan Stanley & Co. LLC (West Palm Beach FL)

NY

06/01/2009 - 12/26/2017

MORGAN STANLEY (NEW YORK NY)

NY

11/28/2016 - 05/05/2017

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

06/10/2009 - 02/07/2013

MORGAN STANLEY & CO. LLC (PURCHASE NY)

NY

07/05/2004 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 11/22/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/11/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/2016

Series 3 - National Commodity Futures Examination

BC

Issued 07/02/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Colin R Brooks.
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