Brad Curtis Brooks
Professional Summary
Brad Curtis Brooks, who also goes by Brad C Brooks, was a registered financial advisor. Brad was a previously registered financial professional and started their career in finance 1986 - 2023. Brad had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 4, Series 53, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brad C Brooks
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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
40 years in the financial services industry
Current & Past Employments
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Current Firm
JTA SECURITIES MANAGEMENT, INC. | TITAN SECURITIES
Contact Information
Main Address
6100 Tennyson Pkwy Suite 240, Plano, TX 75024Phone Number
(972) 980-5920Established
California since 02/11/2004Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
22Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS, BRAD CURTIS | CCO | 1584633 |
Regulatory Assets Under Management
Total Number of Accounts
950AUM (Assets Under Management)
$70,000,000Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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