Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Brooks is a registered representative with Broadridge Business Process Outsourcing, LLC. Steven is licensed to sell securities in New York. Steven began his career in the financial services industry in 2003 and has held positions at Ridge Clearing & Outsourcing Solutions, Inc. and National Investor Services Corp. Steven holds the Series 7, Series 63 and SIE licenses.
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
NJ
01/11/2013 - Present
Broadridge Business Process Outsourcing, LLC (Newark NJ)
NY
05/31/2005 - 06/01/2012
RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. (LAKE SUCCESS NY)
NE
04/24/2003 - 06/15/2005
NATIONAL INVESTOR SERVICES CORP. (BELLEVUE NE)
BC
Issued 05/29/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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