Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil John Brookes is a securities professional with over 10 years of experience in the financial industry. Neil has held previous roles at Bluefin Capital Management, LLC and Labranche Structured Products LLC. Neil is currently registered with Elequin Securities LLC and holds the Series 56, Series 57TO 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
NY
06/12/2023 - Present
Elequin Securities LLC (NEW YORK NY)
NY
01/20/2021 - 03/31/2022
SEA OTTER SECURITIES GROUP LLC (NEW YORK NY)
NY
03/05/2014 - 12/01/2020
BLUEFIN CAPITAL MANAGEMENT, LLC (NEW YORK NY)
NY
09/06/2005 - 10/04/2006
LABRANCHE STRUCTURED PRODUCTS LLC (NEW YORK NY)
NY
05/07/2004 - 07/07/2005
BOX CANYON TRADING LLC (NEW YORK NY)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2014
Series 56 - Proprietary Trader Qualification Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
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