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Brooke Yvonne Smith
Brooke Yvonne Holland, Brooke Smith
CRD#: 7814160
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COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 ONE UNIVERSITY OFFICE PARK
29 & 95 SAWYER ROAD
WALTHAM, MA 02453
29 & 95 SAWYER ROAD
WALTHAM, MA 02453
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Disclosures
1
Year of Experience
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State Registrations
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California 8/9/2024
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Nevada 2/28/2025
B
Colorado 3/4/2024
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New Hampshire 2/12/2024
B
Florida 3/4/2024
B
New York 2/12/2024
B
Idaho 2/28/2025
B
North Carolina 12/16/2024
B
Illinois 5/31/2024
B
Ohio 8/8/2024
B
Kansas 2/28/2025
B
Rhode Island 1/23/2025
B
Maine 2/12/2024
B
Texas 2/27/2024
B
Massachusetts 12/12/2023
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Texas 3/1/2024
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Massachusetts 2/6/2024
B
Vermont 3/4/2024
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Michigan 2/28/2025
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Washington 2/28/2025
B
Minnesota 2/28/2025
SRO Registrations
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B
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Registered with this firm since 2/28/2025
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Registered with this firm since 2/28/2025
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Registered with this firm since 2/6/2024
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Registered with this firm since 11/20/2023
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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.
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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.