Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mark Brooks has been in the securities industry since May 22, 1994. James is currently registered with Equitable Distributors, LLC and is licensed in Arizona, California, Louisiana, Montana, Nevada, New Mexico, Oklahoma, and Texas. James was previously registered with MetLife Investors Distribution Company and Hartford Equity Sales Company Inc.. James holds the Series 6, Series 63 and SIE licenses.
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.
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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2
NC
04/08/2015 - Present
Equitable Distributors, LLC (Charlotte NC)
NY
01/17/2012 - 04/07/2015
METLIFE INVESTORS DISTRIBUTION COMPANY (NEW YORK CITY NY)
NY
01/13/2005 - 07/20/2011
METLIFE INVESTORS DISTRIBUTION COMPANY (NEW YORK CITY NY)
CT
11/24/1993 - 01/14/2005
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
BC
Issued 11/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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