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Neil John Brookes

Elequin Securities LLC

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About Neil John Brookes

Neil 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.

Firm Information

Neil Brookes is currently registered with Elequin Securities LLC. Elequin Securities LLC is a Limited Liability Company formed on April 7, 2020. The firm has received approval for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

6

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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Neil Brookes’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

Disclosures

There are 2 public disclosures for Neil John Brookes. Review regulatory record here.
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