Wayne I. Brooks

ONE HOPPER ASSET MANAGEMENT

UTICA, NY 13501

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CRD#: 2142197

Professional summary

Wayne Irving Brooks is a registered financial advisor currently at ONE HOPPER ASSET MANAGEMENT located in Utica, New York and LEIGH BALDWIN & CO., LLC located in Utica, New York.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Wayne has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 62, Series 4 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.

2001: CAMPAIGN TREASURER FOR VARIOUS POLITICAL CAMPAIGNS; NON INVESTMENT RELATED; NO COMPENSATION; 0 HRS/MARKET HRS ON ACTIVITY 1/2003: FIXED INSURANCE/TER/UL/FIXED ANNUITIES 1 HR/MONTH 11/2007: REAL ESTATE - 1 HOPPER ST, LLC -93% OWNER - 5 HRS/WEEK. 2016: Jakes Amazing Carwash; Managing member for car wash (son owned); 1% owner; 6hr/week during non trading hours; non investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Irving 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

April 22, 2021 - Present

ONE HOPPER ASSET MANAGEMENT

Office #1: 1 Hopper Street, Utica, NY 13501

RIA

CRD#: 168816

UTICA, NY

Current

September 26, 1997 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 2520 Genesee Street, Utica, NY 13502

RIA

CRD#: 38751

UTICA, NY

Past

February 27, 2008 - September 29, 2010

HUSS SERVICES, INC.

CRD#: 2258

NORWICH, NY

Past

December 11, 2006 - February 15, 2007

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

May 19, 1992 - September 26, 1994

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

ROCHESTER, NY

Past

June 19, 1991 - July 25, 1991

PENDRICK REEVES ASSOCIATES, INC.

CRD#: 7623

Past

April 30, 1991 - May 21, 1991

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

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".

ONE HOPPER ASSET MANAGEMENT

BROOKS, WAYNE I | ONE HOPPER ASSET MANAGEMENT

CRD#: 168816 / SEC#: 801-126078

RIA

Registered Investment Advisory firm - (7/13/2022 Approved)

Florida

Registered Investment Advisory firm - (3/1/2023 Terminated)

New York

Registered Investment Advisory firm - (3/1/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Delaware
(9/17/2012)

Florida
(8/5/2005)

IAR

Florida
(11/3/2021)

New York
(2/3/1998)

IAR

New York
(4/22/2021)

North Carolina
(2/4/1998)

Pennsylvania
(9/14/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/1997

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 4/24/1991

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/2/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ONE HOPPER ASSET MANAGEMENT

BROOKS, WAYNE I | ONE HOPPER ASSET MANAGEMENT

CRD#: 168816 / SEC#: 801-126078

RIA

Registered Investment Advisory firm - (7/13/2022 Approved)

Florida

Registered Investment Advisory firm - (3/1/2023 Terminated)

New York

Registered Investment Advisory firm - (3/1/2023 Terminated)

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Contact information

Main Address

1 Hopper Street, Utica, NY 13501

Mailing Address

Phone number

(315) 734-1410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONE HOPPER ASSET MANAGEMENT ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 51,664,376

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

Wayne I. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

HUSS SERVICES, INC.

IBN FINANCIAL SERVICES, INC.

ASHTON THOMAS SECURITIES, LLC

PENDRICK REEVES ASSOCIATES, INC.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

ONE HOPPER ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2013

Series 63

Date: 9/25/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/25/1997

Series 62

Date: 4/24/1991

Series 4

Date: 7/2/2014

Series 24

Date: 12/14/1999

FINRA

Current Firm

ONE HOPPER ASSET MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONE HOPPER ASSET MANAGEMENT

TRUST BUT VERIFY

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