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Rainbow Brooks
RAINBOW JOY BROOKS
CRD#: 4350194
IA
B
D.A. DAVIDSON & CO.CRD#: 199 2901 DOUGLAS BLVD.
SUITE 255
ROSEVILLE, CA 95661
SUITE 255
ROSEVILLE, CA 95661
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Arizona 2/24/2020
B
Nevada 2/24/2020
B
Arkansas 2/24/2020
B
North Carolina 2/24/2020
IA
California 12/12/2019
B
Ohio 2/24/2020
B
California 2/24/2020
B
Oklahoma 2/24/2020
B
Colorado 2/24/2020
B
Oregon 2/24/2020
B
Connecticut 2/24/2020
B
South Carolina 3/10/2021
B
District of Columbia 2/24/2020
B
Tennessee 2/24/2020
B
Florida 2/24/2020
B
Texas 2/24/2020
B
Georgia 2/24/2020
IA
Texas 2/26/2020
B
Hawaii 2/24/2020
B
Utah 2/24/2020
B
Idaho 2/24/2020
B
Washington 2/24/2020
B
Illinois 7/13/2020
B
Wyoming 2/24/2020
B
Massachusetts 2/24/2020
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/12/2019
B
Registered with this firm since 12/12/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/05/2019 - 10/24/2019 | BOCA RATON, FL | |
IA | 01/03/2017 - 10/21/2019 | Roseville, CA | |
IA | 12/06/2016 - 10/21/2019 | Roseville, CA | |
B | 12/03/2018 - 02/15/2019 | BRIDGEHAMPTON,, NY | |
B | 05/03/2004 - 12/31/2016 | SACRAMENTO, CA | |
B | 11/07/2003 - 05/03/2004 | SACRAMENTO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.