EB
Erik B. Brooks
ALLEGIANCE FINANCIAL ADVISORS
Jacksonville, FL 32246-3712
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CRD#: 1637561
EB
Professional summary
Erik Baker Brooks is a registered financial advisor currently at ALLEGIANCE FINANCIAL ADVISORS, INC. located in Jacksonville, Florida and OSAIC WEALTH, INC. located in Jacksonville, Florida.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Erik has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 6 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.
1. Board of Directors Member at Williston Central Christian Academy 225 SE 4th St. Williston, FL 32696, start 10/19/2016, approx 6-8 hrs mo, and 1 trading hr..... 2. CHURCH OF GOD POSITION: Leadership Council NATURE: Charitable INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 10/19/2016 ADDRESS: 850 SW 7th ST, Williston FL 32696, United States DESCRIPTION: Leadership Council 3. DELLA PORTA AGENCY, LLC Position Insurance Broker; Nature LLC; Investment Related Yes; # of Hours 10; # of Security Hours 1; Start Date 12/16/2002; Address 3112 ST Johns Bluff Road South Jacksonville, FL 32246; Description Insurance Broker 4. DP BROKERAGE, INC Position Insurance Broker; Nature Corporation, Insurance Agency; Investment Related Yes; # of Hours 5; # of Security Hours 1; Start Date 12/16/2002; Address 3112 St. Johns Bluff Road South Jacksonville, FL 32246; Description Insurance Broker 5. SHUMATE BROKERAGE POSITION: Insurance Broker NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 03/13/2010 ADDRESS: P O Box 18855, Tampa FL 33679, United States DESCRIPTION: Insurance broker for fixed insurance products only 6. ALLEGIANCE FINANCIAL ADVISORS, INC. POSITION: Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 03/01/2022 ADDRESS: 3112 Saint Johns Bluff Road South, Jacksonville FL 32246, United States DESCRIPTION: Advisor for IRIA
CRS (Client Relationship Summary) - RIA
Click below to view Erik Baker 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
March 8, 2022 - Present
ALLEGIANCE FINANCIAL ADVISORS, INC.
Office #1: 3112 St. Johns Bluff Road South, Jacksonville, FL 32246-3712RIA
CRD#: 127293
Jacksonville, FL
Current
November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 3112 St. Johns Bluff Rd. So., Jacksonville, FL 32246-3712RIA
BD
CRD#: 23131
Jacksonville, FL
Past
March 13, 1987 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 13, 1987 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
JACKSONVILLE, FL
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".
AF
ALLEGIANCE FINANCIAL ADVISORS, INC.
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
RIA
Registered Investment Advisory firm - (5/27/2021 Approved)Florida
Registered Investment Advisory firm - (6/3/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/3/2021 Terminated)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.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
Alabama(5/11/2022)
RR
California(11/2/2018)
RR
Florida(11/2/2018)
IAR
Florida(3/8/2022)
RR
Georgia(3/30/2022)
IAR
Georgia(7/24/2023)
RR
Kentucky(6/2/2023)
RR
Ohio(6/5/2023)
RR
Pennsylvania(5/11/2022)
RR
South Carolina(6/5/2023)
RR
Texas(5/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLEGIANCE FINANCIAL ADVISORS, INC.
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
RIA
Registered Investment Advisory firm - (5/27/2021 Approved)Florida
Registered Investment Advisory firm - (6/3/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/3/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3112 St. Johns Bluff Road South, Jacksonville, FL 32246-3712
Mailing Address
Phone number
(904) 642-4401
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 443 |
| AUM (Assets Under Management) | $ 154,045,384 |
Red Flags
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Company Information
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293Jacksonville, FL 32246-3712TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
