Robert A. Brooks

THE FINANCIAL GROUP

Diamond Bar, CA 91765

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CRD#: 1459077

Professional summary

Robert Alan Brooks is a registered financial advisor currently at THE FINANCIAL GROUP located in Diamond Bar, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Robert has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)INDEPENDENT INSURANCE AGENT,YES,21700 E COPLEY DRIVE, SUITE 160, DIAMOND BAR, CA 91765,INDEPENDENT INSURANCE AGENT,INDEPENDENT INSURANCE AGENT,05/20/1986,160,160,SALES AND SERVICE OF FIXED INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Brooks's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

February 18, 2014 - Present

THE FINANCIAL GROUP

Office #1: 21700 Copley Drive Suite 160, Diamond Bar, CA 91765

RIA

CRD#: 169966

Diamond Bar, CA

Past

February 18, 2014 - June 9, 2014

THE FINANCIAL GROUP

RIA

CRD#: 169966

DIAMOND BAR, CA

Past

July 6, 1998 - February 25, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

DIAMOND BAR, CA

Past

May 20, 1986 - February 25, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DIAMOND BAR, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/18/2014)

IAR

Texas
(3/28/2018)

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: 3/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/19/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE FINANCIAL GROUP

TFG INVESTMENT MANAGEMENT, LLC | THE FINANCIAL GROUP

CRD#: 169966 / SEC#: 801-79132

RIA

Registered Investment Advisory firm - (6/9/2014 Terminated)

California

Registered Investment Advisory firm - (6/9/2014 Approved)

Texas

Registered Investment Advisory firm - (3/20/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

21700 Copley Drive Suite 160, Diamond Bar, CA 91765

Mailing Address

Phone number

(909) 860-7527

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	153
AUM (Assets Under Management)	$ 29,918,184

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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Robert A. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE FINANCIAL GROUP

THE FINANCIAL GROUP

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1998

Series 63

Date: 12/18/1995

Series 7

Date: 3/17/1990

Series 6

Date: 5/19/1986

Current Firm

THE FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE FINANCIAL GROUP

TRUST BUT VERIFY

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