RB
Robert J. Brooks
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
Some features on this profile are disabled
CRD#: 1585399
RB
Professional summary
Robert Jay Brooks is a registered financial professional currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Jay 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®
NoneExperience
Current
June 9, 2023 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089RIA
BD
CRD#: 42941
Golden Valley, MN
Past
August 1, 2014 - June 10, 2023
FELTL & COMPANY
BD
CRD#: 6905
INVER GROVE HEIGHTS, MN
Past
May 3, 2011 - August 20, 2014
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ST. PAUL, MN
Past
March 8, 2010 - August 20, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ST. PAUL, MN
Past
October 10, 2005 - March 16, 2010
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MINNEAPOLIS, MN
Past
May 27, 2003 - October 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 9, 1998 - June 11, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 3, 1994 - March 16, 1998
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
July 31, 1993 - December 22, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 10, 1991 - September 11, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 25, 1987 - November 12, 1991
MJK CLEARING, INC.
BD
CRD#: 8678
MINNEAPOLIS, MN
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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Colorado(10/3/2023)
RR
Minnesota(6/14/2023)
RR
Wisconsin(6/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
