Darrell Wayne Brooks
Professional Summary
Darrell Wayne Brooks is a registered financial advisor currently at SAXON FINANCIAL GROUP located in Houston, Texas. Darrell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Darrell has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 53 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL IMPACT STRATEGIES | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP | ERDIL FINANCIAL GROUP
Contact Information
Main Address
1177 West Loop S Suite 1825, Houston, TX 77027Phone Number
(713) 425-5340# of Employees
19SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,859AUM (Assets Under Management)
$679,123,679Similar Advisors
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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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Primary Firm SEC Registration
CAPITAL IMPACT STRATEGIES | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP | ERDIL FINANCIAL GROUP
State Registrations and Notice Filings
(1/19/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1987About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Darrell Wayne Brooks's CRS (Customer Relationship Summary).
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