Carroll Hooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carroll Hooks, who also goes by Carroll Wendel Hooks Jr, Carroll Wendel Hooks, was a registered financial professional .
Carroll is a previously registered financial professional and started their career in finance in 1987. Carroll had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - June 19, 2018
IAMS WEALTH MANAGEMENT, LLC
April 6, 2015 - December 27, 2016
LPL FINANCIAL LLC
April 6, 2015 - December 27, 2016
LPL FINANCIAL LLC
December 17, 2012 - April 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2012 - April 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1987 - December 31, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,104 |
| AUM (Assets Under Management) | $ 343,012,390 |
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.
