In his capacity as Board Member, Brooks is responsible for the strategic direction and management of Cantella’s Brokerage and Registered Investment Advisory business.

Prior to joining the firm, he was a Managing Director for BNY Mellon Investment Management’s North American Distribution. In this role he had responsibility for the successful management of the North American Retail market. BNY Mellon Investment Management Distribution goes to market in partnership with its Global Investment Boutiques representing approximately $1.7 trillion in assets under management.

Formerly, Brooks was the Director for Pershing’s Boston Regional Office. He oversaw all client relationships and business development for the Northeast region of the United States.

In addition, he served as Chairman of Pershing’s Self-Directed Leadership Committee, its Credit and Risk Committee, ACAT Task Force and Empowerment Advisory Group.

Prior to joining Pershing, Brooks was a Senior Vice President for Fidelity Investments Institutional Brokerage Group, where he was responsible for New Business Sales, Relationship Management and the Bank, Full-Service and Discount Brokerage client market segments.

Brooks is a member of the Bond Club of New York and the Bank Insurance Securities Association, and a frequent speaker on the securities industry at customer and industry events.

He received a Bachelor of Science degree in International Business from Quinnipiac University in Hamden, Connecticut. He holds his Series 6, 7, 63, 24 and 4 FINRA licenses.

Back to top