Mary S. Brooks

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CRD#: 1247072

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

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Turning Keys,LLC; investment-related: no It is a rental condo; the address of the other business: 2695 Kinney Drive Lafayette, CA 94595; rental condo; your position: partner/owner; title, or relationship with the other business: partner; the start date of your relationship: March 13, 2023; the approximate number of hours/month you devote to the other business: 2 hours; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business; As an owner of the condo I make sure all maintenance is done, check on renters. 2) The Meher Schools; investment-related: No; 999 Leland Drive Lafayette, CA 94549; the nature of the other business: Elementary/Pre-school; your position: Board Member; title, or relationship with the other business: Board Member; the start date of your relationship: July 1, 2025; the approximate number of hours/month you devote to the other business: 5; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business: I am one of 9 board members tasked with overseeing the running of the school

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Past

November 9, 2022 - July 1, 2025

INVERA WEALTH ADVISORS LLC

RIA

CRD#: 323792

Walnut Creek, CA

Past

April 9, 2009 - December 31, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Walnut Creek, CA

Past

April 9, 2009 - December 31, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Walnut Creek, CA

Past

July 8, 1997 - April 27, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WALNUT CREEK, CA

Past

July 21, 1995 - April 27, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WALNUT CREEK, CA

Past

November 19, 1990 - August 7, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 22, 1984 - November 27, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INVERA WEALTH ADVISORS LLC

CRD#: 323792 / SEC#: 801-126833

RIA

Registered Investment Advisory firm - (11/4/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/21/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

INVERA WEALTH ADVISORS LLC

CRD#: 323792 / SEC#: 801-126833

RIA

Registered Investment Advisory firm - (11/4/2022 Approved)

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Contact information

Main Address

Bend, OR

Mailing Address

70 Sw Century Drive Suite 100, Pmb 5056, Bend, OR 97702

Phone number

(541) 647-1980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVERA WEALTH ADVISORS ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 236,057,116

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mary S. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INVERA WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1995

Series 63

Date: 9/5/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Current Firm

INVERA WEALTH ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVERA WEALTH ADVISORS LLC

TRUST BUT VERIFY

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