Rodney C. Brooks

RETIREMENT PLANNING SOLUTIONS

Louisville, KY 40222

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CRD#: 1479411

Professional summary

Rodney Charles Brooks, who also goes by Rodney Brooks, is a registered financial advisor currently at RETIREMENT PLANNING SOLUTIONS, LLC located in Louisville, Kentucky and SILVER OAK SECURITIES, INCORPORATED located in Louisville, Kentucky.

Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Rodney has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rodney Brooks

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) Retirement Planning Solutions LLC/RPS Advisory Solutions; Investment-Related; 3432 Stony Spring Circle Louisville, KY 40220; LLC; DBA; Investment Adviser Representative; Start Date: 10/27/2017; 120 hours devoted monthly; 120 hours devoted monthly during trading hours; Fee-based commission; IAR 2.) KKGAM, INC; Non-Investment Related; 3432 Stony Spring Circle Louisville, KY 40220; Corporation; Owner; Start Date: 3/3/2018; 8 hours devoted monthly; 8 hours devoted monthly during trading hours; Holding Company 3.) Clover Wealth Partners, LLC; Investment-Related; 7508 New La Grange Rd, #2, Louisville, KY, 40222; LLC; Consultant; Business Development; Start Date: 7/1/2024 20 hours devoted monthly; 0 hours devoted during trading hours; Fee Based Compensation, Consulting/Business Development activities for CWP (prospecting, workshops, seminars, etc.) 4.) Silver Oak Securities, Inc.; Investment-Related; 403 North Pkwy. #202 Jackson, TN 38305; LLC; Corporation; Broker-Dealer; Investment Adviser Representative; Start Date: 3/2020; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Commission Products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Charles Brooks's CRS (Customer Relationship Summary).

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

March 1, 2021 - Present

RETIREMENT PLANNING SOLUTIONS, LLC

Office #1: 7508 New La Grange Rd #2, Louisville, KY 40222

RIA

CRD#: 311575

Louisville, KY

Current

March 2, 2020 - Present

SILVER OAK SECURITIES, INCORPORATED

Office #1: 7508 New La Grange Road #2, Louisville, KY 40222Office #2: 3432 Stony Spring Circle, Louisville, KY 40220

RIA

CRD#: 46947

Louisville, KY

Past

March 3, 2020 - April 29, 2021

MAGNATE ADVISORY SERVICES, LLC

RIA

CRD#: 283056

Louisville, KY

Past

October 27, 2017 - March 3, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Louisville, KY

Past

October 27, 2017 - March 3, 2020

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LOUISVILLE, KY

Past

September 13, 2006 - November 6, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

August 24, 2006 - November 6, 2017

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

January 21, 1999 - January 8, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

January 5, 1998 - January 5, 1998

NATIONSSECURITIES

CRD#: 32542

Past

January 5, 1998 - December 11, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 1, 1996 - May 1, 1997

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 29, 1993 - September 29, 1994

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 22, 1989 - October 6, 1993

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

August 25, 1989 - November 14, 1989

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 5, 1989 - September 5, 1989

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

June 5, 1986 - May 13, 1988

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

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".

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/18/2021)

Georgia
(3/2/2020)

Indiana
(3/5/2020)

Kentucky
(3/2/2020)

IAR

Kentucky
(3/1/2021)

Minnesota
(4/14/2020)

Ohio
(3/2/2020)

South Carolina
(3/2/2020)

Tennessee
(3/3/2020)

IAR

Texas
(10/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/4/1986

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: 8/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 Approved)

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Contact information

Main Address

3432 Stony Spring Circle, Louisville, KY 40220

Mailing Address

Phone number

(502) 499-5668

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A (6/4/2025)

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,366
AUM (Assets Under Management)	$ 376,782,414

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Rodney C. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Charles Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

MAGNATE ADVISORY SERVICES, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

NATIONSSECURITIES

BANC OF AMERICA INVESTMENT SERVICES, INC.

J.C. BRADFORD & CO.

A. G. EDWARDS & SONS, INC.

WACHOVIA SECURITIES, INC.

SECURITIES AMERICA, INC.

FFP SECURITIES, INC.

FORTH FINANCIAL SECURITIES, CORPORATION

Primary Firm SEC Registration

RETIREMENT PLANNING SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2006

Series 63

Date: 6/4/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2006

Series 6

Date: 6/4/1986

FINRA

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNING SOLUTIONS, LLC

TRUST BUT VERIFY

Contact information

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