Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Rodgers Brooks is a financial advisor with Stifel, Nicolaus & Company, Inc. located in Baltimore, Maryland. Patrick has been in the financial services industry since 1996 and has extensive experience in the industry with previous roles at RBC Capital Markets Corporation, Ferris, Baker Watts, LLC, Wachovia Securities, Inc., Deutsche Bank Securities Inc. and Alex. Brown & Sons Incorporated. Patrick is a registered representative and holds multiple securities licenses including Series 3, 4, 7, 9, 10, 24, 53, 55, 57TO and SIE. Patrick specializes in providing financial advice to individuals, businesses, investment clubs, charitable organizations, insurance companies, banking or thrift institutions, pension and profit sharing plans, pooled investment vehicles, corporations or other businesses and state or municipal government entities. Patrick is a registered principal and a general securities sales supervisor.
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.
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
MD
05/12/2009 - Present
Stifel, Nicolaus & Company, Inc. (BALTIMORE MD)
MD
03/13/2009 - 03/31/2009
RBC CAPITAL MARKETS CORPORATION (BALTIMORE MD)
MD
03/11/2005 - 03/13/2009
FERRIS, BAKER WATTS, LLC (BALTIMORE MD)
MO
01/28/2000 - 10/28/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NY
06/14/1999 - 02/07/2000
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/01/1997 - 06/14/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
10/26/1993 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BC
Issued 10/14/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/17/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/06/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/31/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/02/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2008
Series 3 - National Commodity Futures Examination
BC
Issued 03/18/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/10/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Patrick Brooks is the right advisor for you? Invested Better is here to help.
