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Detailed Report
Garrett H Brookes
CRD#: 4806723
IA
Investment Adviser
B
Broker
SLINGSHOT FINANCIALCRD#: 312796 DENVER, CO
THE LEADERS GROUP, INC.CRD#: 37157 Denver, CO
Registration History
2008201020122014201620182020202220242026BTHE LEADERS GROUP, INC. (CRD# 37157)2025 - Present (<1 year)IASLINGSHOT FINANCIAL (CRD# 312796)2021 - Present (3 years)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2017 - 2019 (2 years)BIMST DISTRIBUTORS, LLC (CRD# 130745)2014 - 2014 (<1 year)BGUGGENHEIM DISTRIBUTORS, LLC (CRD# 40805)2007 - 2014 (7 years)IAGLOBALT INVESTMENTS (CRD# 168405)2015 - 2017 (1 year)IAGUGGENHEIM INVESTMENTS (CRD# 105477)2010 - 2014 (3 years)IARYDEX ADVISORY SERVICES, LLC (CRD# 132735)2009 - 2010 (1 year)
License(s)

State Registrations

IA
Colorado 5/14/2021
B
Colorado 1/30/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
THE LEADERS GROUP, INC. (CRD#:37157)
Denver, CO
Registered with this firm since 1/29/2025
IA
SLINGSHOT FINANCIAL (CRD#:312796)
DENVER, CO
Registered with this firm since 5/14/2021
Previous Registration(s)
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B
 03/17/2017 - 05/31/2019 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) NEW YORK, NY
IA
 03/25/2015 - 02/28/2017 GLOBALT INVESTMENTS (CRD#:168405) ATLANTA, GA
B
 05/06/2014 - 06/17/2014 IMST DISTRIBUTORS, LLC (CRD#:130745) DENVER, CO
IA
 10/26/2010 - 02/11/2014 GUGGENHEIM INVESTMENTS (CRD#:105477) NEW YORK, NY
B
 02/22/2007 - 02/11/2014 GUGGENHEIM DISTRIBUTORS, LLC (CRD#:40805) LISLE, IL
IA
 01/28/2009 - 10/28/2010 RYDEX ADVISORY SERVICES, LLC (CRD#:132735) ROCKVILLE, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.