Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Brockway is an active investment advisor representative with over 38 years of experience in the financial services industry. Jeffrey has been registered with Wells Fargo Clearing Services, LLC since November 2016. Previously, Jeffrey was registered with A. G. EDWARDS & SONS, INC., PERFORMANCE TRUST CAPITAL PARTNERS, INC., ROBERT W. BAIRD & CO. INCORPORATED and CLAYTON BROWN & ASSOCIATES, INC.. Jeffrey holds a Series 7, Series 52, Series 63, and Series 65 licenses. Jeffrey is licensed to conduct securities business in several states including Alabama, Arizona, California, Colorado, Florida, Illinois, Indiana, Kentucky, Massachusetts, Michigan, Minnesota, Missouri, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Washington and Wisconsin. Jeffrey provides financial planning, pension consulting and portfolio management services to both individual and business clients.
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.
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.
Investment consulting services to institutional clients
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.
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2
MI
08/14/2018 - Present
Wells Fargo Clearing Services, LLC (PORTAGE MI)
MI
01/17/2007 - 01/03/2008
A. G. EDWARDS & SONS, INC. (KALAMAZOO MI)
MI
05/29/1997 - 01/25/2007
PERFORMANCE TRUST CAPITAL PARTNERS, INC. (PLAINWELL MI)
WI
10/04/1994 - 05/22/1997
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IL
03/12/1987 - 10/11/1994
CLAYTON BROWN & ASSOCIATES, INC. (CHICAGO IL)
NA
06/12/1985 - 02/03/1987
COLUMBIAN SECURITIES, INC.
IA
Issued 03/25/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
BC
Issued 06/11/1985
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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