Thomas 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.
Thomas Scott Brooks, who also goes by Scott Brooks, T Scott Brooks, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2019 - December 31, 2019
WHITESTONE WEALTH ADVISORS, LLC
December 4, 2015 - December 31, 2018
INSTITUTE FOR WEALTH ADVISORS, INC.
April 23, 2008 - October 28, 2013
PEAK AMERICAN INVESTMENT ADVISORS, INC.
October 23, 2007 - October 25, 2013
PURITAN BROKERAGE SERVICES, INC.
February 26, 2004 - October 24, 2006
MCCLENDON, MORRISON & PARTNERS, INC.
March 7, 2000 - April 5, 2002
ONLINE SECURITIES, INC.
November 18, 1999 - July 25, 2001
NEW YORK BROKER, INC.
November 10, 1998 - June 8, 1999
TRADESCAPE SECURITIES, LLC
June 19, 1996 - June 8, 1999
LIGHTSPEED PROFESSIONAL TRADING LLC
August 10, 1995 - November 16, 1999
LAM SECURITIES INVESTMENTS, INC.
January 27, 1995 - June 18, 1996
AXIS TRADING CORPORATION
September 4, 1990 - June 7, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 25, 1988 - December 7, 1988
GRAYSTONE NASH, INC.
October 22, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
October 19, 1987 - September 23, 1988
BOETTCHER & COMPANY, INC.
February 24, 1987 - October 23, 1987
TRADESTAR INVESTMENTS,INC.
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
WHITESTONE WEALTH ADVISORS, LLC
CRD#: 299381 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 14,394,362 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
