Leonard J. Brooks

BROOKS FINANCIAL OF NORTH CAROLINA

Durham, NC 27713

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CRD#: 2168118

Professional summary

Leonard Jerome Brooks is a registered financial advisor currently at BROOKS FINANCIAL OF NORTH CAROLINA, LLC located in Durham, North Carolina.

Leonard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Leonard has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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)BROOKS FINANCIAL OF NORTH CAROLINA; DURHAM, NC; NON-INVESTMENT RELATED; TAX PREP AND FILING SERVICES; SINCE 11/2014; OWNER; 160HRS/MO 2)ALPHA RISK MANAGEMENT SERVICES; DURHAM, NC; NON-INVESTMENT RELATED; P&C INSURANCE; SINCE 2/2018; AGENT; MANAGE SMALL COMMERCIAL PROPERTY; 60 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Jerome 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®

None

Experience

Current

January 24, 2022 - Present

BROOKS FINANCIAL OF NORTH CAROLINA, LLC

Office #1: 2530 Meridian Parkway Suite 300, Durham, NC 27713

RIA

CRD#: 317158

Durham, NC

Past

May 13, 2019 - January 21, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DURHAM, NC

Past

May 13, 2019 - January 21, 2022

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

DURHAM, NC

Past

June 5, 2007 - May 24, 2019

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DURHAM, NC

Past

September 26, 2005 - May 24, 2019

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Durham, NC

Past

November 8, 2000 - September 30, 2005

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

June 10, 1999 - December 4, 2000

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

January 9, 1997 - January 22, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 9, 1997 - January 22, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

North Carolina
(1/24/2022)

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: 6/4/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/1997

General Securities Representative Examination

Current Firm

BROOKS FINANCIAL OF NORTH CAROLINA, LLC

BROOKS FINANCIAL | BROOKS FINANCIAL OF NORTH CAROLINA, LLC

CRD#: 317158 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/24/2022 Approved)

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Contact information

Main Address

2530 Meridian Parkway Suite 300, Durham, NC 27713

Mailing Address

Phone number

(919) 572-1925

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 8,017,915

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

Leonard J. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Jerome Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

NATIONWIDE SECURITIES, LLC

INVESTORS CAPITAL CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2007

Series 63

Date: 2/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/8/1997

Current Firm

BROOKS FINANCIAL OF NORTH CAROLINA, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROOKS FINANCIAL OF NORTH CAROLINA, LLC

TRUST BUT VERIFY

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