Mary S. Brooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Shepard Brooks, CFP®, who also goes by Mary S Brooks, Mary Ellen Higgins, Mary Ellen Lloyd, Mary Ellen Shepard, Mary S Shepard, Mary Shepard, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
November 9, 2022 - July 1, 2025
INVERA WEALTH ADVISORS LLC
April 9, 2009 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
April 9, 2009 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
July 8, 1997 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
July 21, 1995 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
November 19, 1990 - August 7, 1995
UBS FINANCIAL SERVICES INC.
March 22, 1984 - November 27, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INVERA WEALTH ADVISORS LLC
CRD#: 323792 / SEC#: 801-126833
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVERA WEALTH ADVISORS LLC
CRD#: 323792 / SEC#: 801-126833
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 580 |
| AUM (Assets Under Management) | $ 236,057,116 |
Red Flags
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