Curtis R. Brooks
Professional summary
Curtis Randall Brooks, who also goes by Curt Brooks, Curtis R Brooks, is a registered financial advisor currently at 5C CAPITAL MANAGEMENT, LLC located in Woodcliff Lake, New Jersey.
Curtis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Curtis has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Randall Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2017 - Present
5C CAPITAL MANAGEMENT, LLC
Office #1: 50 Tice Boulevard Suite A32, Woodcliff Lake, NJ 07677September 30, 2011 - September 9, 2016
USAA FINANCIAL PLANNING SERVICES
September 30, 2011 - September 9, 2016
USAA FINANCIAL ADVISORS, INC.
October 28, 2009 - September 20, 2011
GERSTEIN FISHER
October 28, 2009 - September 20, 2011
GFA SECURITIES, LLC
August 10, 2007 - October 22, 2009
FIRST ALLIED SECURITIES, INC.
July 17, 2007 - October 22, 2009
FIRST ALLIED SECURITIES, INC.
January 2, 2004 - July 19, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2003 - January 23, 2004
WALNUT STREET SECURITIES, INC.
January 16, 2003 - October 28, 2009
WEALTH PARTNERS ADVISORS LLC
March 13, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 4, 1996 - December 31, 2001
MUTUAL SERVICE CORPORATION
November 4, 1994 - April 9, 1996
ADVANTAGE CAPITAL CORPORATION
January 1, 1993 - December 31, 1993
CADARET, GRANT & CO., INC.
July 15, 1991 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 8, 1989 - July 15, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
June 7, 1984 - November 22, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
5C CAPITAL MANAGEMENT, LLC
CRD#: 284213 / SEC#: 801-108825
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/10/2017)
(6/21/2017)
Exams
Current Firm
5C CAPITAL MANAGEMENT, LLC
CRD#: 284213 / SEC#: 801-108825
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 537,448,475 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
