Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Leonice Brooks is a financial advisor with over 24 years of experience in the financial services industry. She is registered with Raymond James Financial Services Advisors, Inc. and is licensed to provide investment advice and services in multiple states. Rebecca has held various positions at firms like Wells Fargo Clearing Services, LLC, and MidSouth Capital, Inc. Rebecca specializes in providing financial planning, portfolio management and retirement planning services to individual clients, corporations, and retirement plans. She holds a variety of securities licenses and has passed numerous industry exams including the Series 7, Series 9, Series 10, and Series 66 exams.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
SC
04/22/2022 - Present
Raymond James Financial Services Advisors, Inc. (Columbia SC)
SC
05/24/2010 - 04/26/2022
WELLS FARGO CLEARING SERVICES, LLC (COLUMBIA SC)
GA
10/05/1999 - 05/24/2010
MIDSOUTH CAPITAL, INC. (ATLANTA GA)
SC
01/01/1998 - 09/29/1999
SOUTHERN FINANCIAL GROUP, INC. (COLUMBIA SC)
BOTH
Issued 12/07/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/21/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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