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Thomas Scott Brooks

CRD# 1251411·Registered 1987 - 2019
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Scott Brooks, who also goes by Scott Brooks, T Scott Brooks, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1987 - 2019. Thomas had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Scott Brooks, T Scott Brooks

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

WHITESTONE WEALTH ADVISORS, LLC·CRD# 299381
RIA
Rowlett, TX
March 7, 2019 - December 31, 2019
INSTITUTE FOR WEALTH ADVISORS, INC.·CRD# 149347
RIA
Dallas, TX
December 4, 2015 - December 31, 2018
PEAK AMERICAN INVESTMENT ADVISORS, INC.·CRD# 145056
RIA
Addison, TX
April 23, 2008 - October 28, 2013
PURITAN BROKERAGE SERVICES, INC.·CRD# 144445
BD
Plano, TX
October 23, 2007 - October 25, 2013
MCCLENDON, MORRISON & PARTNERS, INC.·CRD# 14684
BD
Dallas, TX
February 26, 2004 - October 24, 2006
ONLINE SECURITIES, INC.·CRD# 46349
BD
Herndon, VA
March 7, 2000 - April 5, 2002
NEW YORK BROKER, INC.·CRD# 25613
BD
Herndon, VA
November 18, 1999 - July 25, 2001
TRADESCAPE SECURITIES, LLC·CRD# 41937
BD
New York, NY
November 10, 1998 - June 8, 1999
LIGHTSPEED PROFESSIONAL TRADING LLC·CRD# 39293
BD
New York, NY
June 19, 1996 - June 8, 1999
LAM SECURITIES INVESTMENTS, INC.·CRD# 17037
BD
San Francisco, CA
August 10, 1995 - November 16, 1999
AXIS TRADING CORPORATION·CRD# 36311
BD
January 27, 1995 - June 18, 1996
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
September 4, 1990 - June 7, 1993
GRAYSTONE NASH, INC.·CRD# 10635
BD
October 25, 1988 - December 7, 1988
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.·CRD# 22540
BD
October 22, 1988 - September 4, 1990
BOETTCHER & COMPANY, INC.·CRD# 101
BD
October 19, 1987 - September 23, 1988
TRADESTAR INVESTMENTS,INC.·CRD# 14565
BD
February 24, 1987 - October 23, 1987

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Current Firm

WW
WHITESTONE WEALTH ADVISORS, LLC

GMAC WEALTH ADVISORS, L.L.C. | WHITESTONE WEALTH ADVISORS, LLC

CRD#: 299381
Texas
Registered Investment Advisory firm - Texas (3/7/2019 Approved)

Contact Information

Main Address

4702 Rowlett Rd. Ste 102, Rowlett, TX 75088

Phone Number

(972) 475-2461

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

115

AUM (Assets Under Management)

$18,844,383

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1996About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1992About the Series 4 exam

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CRS (Client Relationship Summary)

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

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