Darrell W. Brooks

SAXON FINANCIAL GROUP

Houston, TX 77027

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CRD#: 1619165

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.

Question & Answer

Are you a "fiduciary"?

Yes

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.

RIVERWAY FINANCIAL GROUP LLC:NOT INVESTMENT RELATED:3/2015-PRESENT:HOUSTON, TX:SUPPORT COMPANY/DBA (OWNER):0 HRS/MO:0 HRS DURING TRADING:OWNER AND BRANCH MANAGER OF LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Wayne 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

January 19, 2022 - Present

SAXON FINANCIAL GROUP

Office #1: 1177 West Loop S Suite 1825, Houston, TX 77027

RIA

CRD#: 311687

Houston, TX

Past

June 9, 2009 - December 31, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HOUSTON, TX

Past

May 22, 2009 - December 31, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HOUSTON, TX

Past

August 1, 2003 - May 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

HOUSTON, TX

Past

August 1, 2003 - May 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

HOUSTON, TX

Past

September 14, 2001 - August 14, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

HOUSTON, TX

Past

September 14, 2001 - August 14, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

April 6, 1999 - July 12, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

January 1, 1998 - September 4, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 15, 1993 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

July 27, 1992 - December 31, 1993

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

May 2, 1988 - December 31, 1989

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

May 2, 1988 - February 25, 1991

AMERICAN CAPITAL MARKETING, INC.

CRD#: 6699

Past

May 7, 1987 - March 21, 1988

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

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".

SAXON FINANCIAL GROUP

ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA

Registered Investment Advisory firm - (2/9/2021 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.

Highlighted states indicate IAR registrations

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 9/25/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/26/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/26/2024

Registered Options Principal Examination

Current Firm

SAXON FINANCIAL GROUP

ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA

Registered Investment Advisory firm - (2/9/2021 Approved)

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Contact information

Main Address

1177 West Loop S Suite 1825, Houston, TX 77027

Mailing Address

Phone number

(713) 425-5340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAXON FINANCIAL GROUP DISCLOSURE BROCHURE (9/30/2025)

Regulatory assets under management

Total Number of Accounts	1,713
AUM (Assets Under Management)	$ 616,477,568

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.

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Advisor Monitoring

Firm Stability Insights

Darrell W. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Wayne Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

USLIFE EQUITY SALES CORP.

ADVANTAGE CAPITAL CORPORATION

AMERICAN CAPITAL MARKETING, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SAXON FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1995

Series 63

Date: 4/6/1987

Series 7TO

Date: 3/26/2024

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 6

Date: 5/4/1987

Series 24

Date: 3/26/2024

Series 53

Date: 3/26/2024

Series 4

Date: 3/26/2024

Current Firm

SAXON FINANCIAL GROUP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAXON FINANCIAL GROUP

TRUST BUT VERIFY

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