Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Brooks is a financial advisor with over 14 years of experience in the financial services industry. Joshua has been a Registered Representative with Raymond James & Associates, Inc. since May 2023. Previously, Joshua worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, and PNC Investments. Joshua holds Series 6, 7, 10, 9, 63, and 65 licenses. Raymond James & Associates, Inc. is a full-service investment firm providing a broad range of financial services to individuals, families, businesses, and institutions. Raymond James & Associates, Inc. has over 8,000 financial advisors and provides financial planning, portfolio management, and investment services to clients across the United States.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
05/30/2023 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
09/13/2016 - 04/28/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TAMPA FL)
FL
12/11/2012 - 08/26/2016
WELLS FARGO ADVISORS, LLC (CLEARWATER FL)
FL
11/17/2010 - 11/09/2012
PNC INVESTMENTS (CLEARWATER FL)
IL
10/26/2009 - 11/12/2010
FIFTH THIRD SECURITIES, INC. (CHICAGO IL)
IA
Issued 04/24/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/21/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2012
Series 7 - General Securities Representative Examination
BC
Issued 10/23/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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