Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Don? Claim Your ProfileDon L Brooks has been a registered representative for over 20 years. Don L Brooks is currently registered with UBS Financial Services Inc. Don L Brooks is also registered as an investment advisor representative in Tennessee. Don L Brooks has been with UBS Financial Services Inc. since September 2005. UBS Financial Services Inc. manages more than $50 billion in assets and has over 1 million client accounts. Don L Brooks offers a variety of financial services including financial planning, portfolio management for individuals and businesses, educational seminars and selection of other advisors. Don L Brooks is committed to providing his clients with personalized service and helping them achieve their financial goals.
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.
See schedule d - miscellaneous
1
2
NJ
01/15/2004 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
04/13/2015 - 03/30/2022
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 03/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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