Joseph BrooksCRD Number: 2664035
Current Firm: Northwestern Mutual Investment Services,llc
Joseph Brooks (CRD# 2664035) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Charlotte, NC and has over 19 years of experience in the finance industry. Joseph Brooks has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Northwestern Mutual Wealth Management Company||Milwaukee, WI||Nov 2018 - Current||< 1|
|Northwestern Mutual Investment Services LLC||Charlotte, NC||Oct 2018 - Current||< 1|
|John Garwood||Charlotte, NC||Oct 2018 - Current||< 1|
|Robert Dayton||Charlotte, NC||Oct 2018 - Current||< 1|
|Nfp||Charlotte, NC||Dec 2008 - Oct 2018||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2000|
|S66||NASAA Uniform Combined State Law Examination||Apr 2002|
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Fixed fees (other than subscription fees)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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