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Michael Brooks

Cantor Fitzgerald & Co.

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About Michael Brooks

Michael Brooks is a financial advisor with Cantor Fitzgerald & Co. Michael has been in the securities industry since March 11, 1997. Prior to joining Cantor Fitzgerald & Co., Michael worked at Barclays Capital Inc., Lehman Brothers Inc., and Blaylock & Partners, L.P. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 9, 10, 63, 99TO and SIE licenses. Michael is also registered in Connecticut, Florida, Illinois, New Jersey, and New York.

Firm Information

Michael Brooks is currently registered with Cantor Fitzgerald & Co.. Cantor Fitzgerald & Co. is a partnership formed on September 25, 1992, with a presence in 52 states and the District of Columbia, as well as federal SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

291

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Michael Brooks’s Registration & Firm History

NY

10/19/2020 - Present

Cantor Fitzgerald & Co. (NEW YORK NY)

NY

09/22/2008 - 04/28/2020

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

11/15/1996 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

09/20/1996 - 11/18/1996

BLAYLOCK & PARTNERS, L.P. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/25/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/27/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/16/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Brooks.
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