Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rainbow? Claim Your ProfileRainbow Brooks is an active investment advisor representative with D.a. Davidson & Co., a registered investment advisor firm. Rainbow has been in the financial industry since 2003. Rainbow is currently registered to provide investment advice in California and Texas. Rainbow has a broad range of experience, having worked with a variety of firms including Aurora Capital LLC, Newbridge Securities Corporation and Mid Atlantic Capital Corporation. Rainbow holds the following licenses: Series 7, Series 9, Series 10, Series 63, and Series 65. Rainbow is committed to providing personalized financial planning, investment management, and other advisory services to individuals, businesses, and families. Rainbow is committed to helping clients achieve their financial goals.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
02/26/2020 - Present
D.a. Davidson & Co. (ROSEVILLE CA)
FL
03/05/2019 - 10/24/2019
NEWBRIDGE SECURITIES CORPORATION (BOCA RATON FL)
NY
12/03/2018 - 02/15/2019
AURORA CAPITAL LLC (BRIDGEHAMPTON, NY)
CA
05/03/2004 - 12/31/2016
MID ATLANTIC CAPITAL CORPORATION (SACRAMENTO CA)
CA
11/07/2003 - 05/03/2004
LONDON PACIFIC SECURITIES, INC. (SACRAMENTO CA)
BC
Issued 02/24/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/06/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/02/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/31/2016
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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