Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Brooks is a financial advisor currently working for Janus Henderson Distributors US LLC based in Denver, Colorado. Jeffrey has over 20 years of experience in the financial industry, having previously worked for American Funds Distributors, Inc., UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Jeffrey holds a Series 7, 24, 63 and 66 licenses as well as the Securities Industry Essentials (SIE) Examination.
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
CO
05/30/2023 - Present
Janus Henderson Distributors US LLC (DENVER CO)
CA
08/29/2018 - 05/12/2023
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
NJ
10/13/2010 - 07/31/2018
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
07/28/2005 - 09/28/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
MA
03/21/2001 - 12/31/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 12/10/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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