Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Brook is a financial professional with over 27 years of experience in the industry. Eric is currently a registered representative with RBC Capital Markets, LLC, where Eric has worked since July 12, 2024. Prior to that, Eric was with DEUTSCHE BANK SECURITIES INC. from June 14, 1999, to June 21, 2024. Eric holds licenses including Series 7, Series 24, Series 63, Series 79TO, and SIE. Eric specializes in providing investment advice for individuals, businesses, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
07/12/2024 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
06/14/1999 - 06/21/2024
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
08/10/1998 - 06/14/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
08/10/1995 - 06/04/1998
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 11/30/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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