Best Investors Account Sign in

Rainbow Brooks

D.A. Davidson & Co.

Roseville, CA

Claim This Profile
Current Employers
D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-26
CA RA APPROVED 2019-12-12
  • TX RA
    APPROVED_RES
    Since 2020-02-26
  • CA RA
    APPROVED
    Since 2019-12-12

Branch Locations

2901 Douglas Blvd. Suite 255, Roseville, CA 95661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mid Atlantic Capital Corporation Pittsburgh PA 05/2004 12/2016
Strategy Asset Managers Llc Roseville CA 06/2010 10/2019
Holly Street Wealth Advisors Pasadena CA 07/2016 10/2019
Aurora Capital Llc Bridgehampton NY 11/2018 02/2019
Newbridge Securities Corporation Roseville CA 03/2019 10/2019
Unemployed Antelope CA 10/2019 12/2019
D.A. Davidson & Co. Roseville CA 12/2019 Present
  • 05/2004 → 12/2016
    Mid Atlantic Capital Corporation
    Pittsburgh, PA
  • 06/2010 → 10/2019
    Strategy Asset Managers Llc
    Roseville, CA
  • 07/2016 → 10/2019
    Holly Street Wealth Advisors
    Pasadena, CA
  • 11/2018 → 02/2019
    Aurora Capital Llc
    Bridgehampton, NY
  • 03/2019 → 10/2019
    Newbridge Securities Corporation
    Roseville, CA
  • 10/2019 → 12/2019
    Unemployed
    Antelope, CA
  • 12/2019 → Present
    D.A. Davidson & Co.
    Roseville, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-02-24
S65 Uniform Investment Adviser Law Examination 2016-12-06
  • S63 Uniform Securities Agent State Law Examination
    2020-02-24
  • S65 Uniform Investment Adviser Law Examination
    2016-12-06
Other Names
  • Rainbow Joy Brooks

View on SEC IAPD

Other Firms

DCA FAMILY OFFICE, LLC
DCA MANAGEMENT COMPANY, INC.
MUTUAL ADVISORS, LLC
COMMONWEALTH FINANCIAL NETWORK
EDWARD JONES
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC
MERCER GLOBAL ADVISORS INC.
NORTHROCK PARTNERS, LLC

Other Investors

KHOLT T. MULDERRIG
Christopher Bruce Stephenson
Kristofer Louis Jones
DANIEL HAVEN FULLER
Zachary Ward Scholfield
JULIA RAMONA SHILES
EDWARD JOSEPH BUNTING
BRADLEY SCOTT SULLIVAN

Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

More in Roseville, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor