Jonathan Michael Brooks

CRD 5133467 · Fidelity Brokerage Services LLC · Smithfield, RI

IA RegisteredBroker

Also appears in the source record as: Michael Brooks; Mike Brooks

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 10Series 9Series 24Series 6TOSeries 99TOSIESeries 7
Registered states (4): Massachusetts · North Carolina · Texas · Utah
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (9)

From the source registration record · current first

Strategic Advisers LLCCurrent
Charlotte, NC · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Charlotte, NC · BD capacity

Dec 22, 2021 → present
Fidelity Brokerage Services LLCCurrent
Smithfield, RI · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jan 13, 2022 → Mar 31, 2025
Lpl Financial LLC
BD capacity

Jul 28, 2010 → Feb 25, 2021
Lpl Financial LLC
IA capacity

Jul 28, 2010 → Feb 25, 2021
Uvest Financial Services Group, Inc.
IA capacity

Nov 21, 2007 → Aug 5, 2010
Uvest Financial Services Group, Inc.
BD capacity

Apr 12, 2007 → Aug 5, 2010
Echotrade LLC
BD capacity

Apr 19, 2006 → Nov 29, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5133467 ↗ FINRA BrokerCheck record for CRD 5133467 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.