Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rhys? Claim Your ProfileRhys Scott Brooks is a financial professional with over 27 years of experience in the securities industry. Currently, Rhys is registered with Cowen and Co., a firm that provides a wide range of financial services. Rhys has a proven track record in the industry, having previously held positions at KeyBanc Capital Markets Inc., Jefferies LLC, Thomas Weisel Partners LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rhys is licensed in several states, including California, Colorado, Connecticut, Massachusetts, New Jersey, New York, Ohio, and Texas.
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
CT
12/03/2018 - Present
Cowen AND Co. (Stamford CT)
NY
08/17/2016 - 11/20/2018
KEYBANC CAPITAL MARKETS INC. (New York NY)
NY
09/12/2007 - 09/13/2016
JEFFERIES LLC (NEW YORK NY)
CA
03/15/2000 - 09/20/2007
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
06/02/1995 - 03/23/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 01/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2010
Series 4 - Registered Options Principal Examination
BC
Issued 11/02/2006
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 05/11/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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