Kevin L. Brooks
CETERA INVESTMENT ADVISERS LLC
WICHITA FALLS, TX 76308
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CRD#: 2078763
Professional summary
Kevin Lynn Brooks, CFP®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wichita Falls, Texas and CETERA ADVISORS LLC located in Wichita Falls, Texas.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kevin has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51 and Series 24 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.)SELF - MAGICIAN 2.)B&B MARKETING; REAL ESTATE(RENT/INVEST/DEVELOP). 3.)KEVIN LYNN BROOKS; REGISTERED INVESTMENT ADVISOR. 4.)BROOKS FINANCIAL SERVICES; DBA. 5.) KEVIN L BROOKS PUBLISHING; AUTHOR; START DATE 01/01/2014; 80 HOURS PER MONTH. 6.) BROOKS LAND AND CATTLE COMPANY; RANCHER; START DATE 04/28/2015; 120 HOURS PER MONTH. 7.) Whiteside Museum of Natural History; Director; Non-Profit Organization; start date 08/01/2016; 4 hours per month. 8.) KEVIN BROOKS - INSURANCE; SOLE PROP; START DATE 04/03/2017; 160 HOURS PER MONTH 9.) MOUNTAIN HIDEAWAY BROKEN BOW, LLC; MANAGING MEMBER; REAL ESTATE; START DATE: 08/01/2022; 12 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Lynn 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®
CFP®
Start date: 2018
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2629 Plaza Parkway Suite A2, Wichita Falls, TX 76308RIA
CRD#: 105644
WICHITA FALLS, TX
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 2629 Plaza Parkway Suite 2a, Wichita Falls, TX 76308BD
CRD#: 10299
Wichita Falls, TX
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WICHITA FALLS, TX
Past
February 8, 2000 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
WICHITA FALLS, TX
Past
February 8, 2000 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WICHITA FALLS, TX
Past
July 12, 1996 - March 16, 2000
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
October 22, 1990 - July 26, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 22, 1990 - July 26, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
Colorado(9/8/2022)
RR
Missouri(9/8/2022)
RR
New Mexico(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Oklahoma(9/8/2022)
RR
Oregon(9/8/2022)
RR
Tennessee(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(4/17/2025)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
