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RB

Robert C. Brooks

FORESIDE FINANCIAL SERVICES
Andover, MA 01810
Some features on this profile are disabled
CRD#: 2169413
RB

Professional summary

Robert Cyril Brooks, who also goes by Bobby Brooks, Robert C Brooks, Robert Cyril Brooks Mr, Robert Cyril Brooks, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Andover, Massachusetts.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bobby Brooks | Robert C Brooks | Robert Cyril Brooks Mr | Robert Cyril Brooks

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Cyril 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

April 24, 2026 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 300 Brickstone Square 10th Floor, Andover, MA 01810
BD
CRD#: 148477
Andover, MA
Past

February 5, 2024 - February 24, 2026

RIVERFRONT INVESTMENT GROUP, LLC

RIA
CRD#: 146221
Manchester, MA
Past

August 30, 2021 - February 20, 2026

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

October 19, 2020 - June 18, 2021

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

October 20, 2016 - August 24, 2020

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
BOSTON, MA
Past

January 12, 2016 - August 11, 2016

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

January 1, 2010 - November 6, 2015

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

December 17, 2007 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

September 18, 2006 - November 6, 2015

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
MANCHESTER, MA
Past

July 19, 2006 - September 18, 2006

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
WHEATON, IL
Past

August 14, 2001 - May 5, 2006

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

January 24, 1996 - July 31, 2001

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/24/2026)
RR
Alaska
(4/24/2026)
RR
Arizona
(4/24/2026)
RR
Arkansas
(4/24/2026)
RR
California
(4/24/2026)
RR
Colorado
(4/24/2026)
RR
Connecticut
(4/24/2026)
RR
Delaware
(4/24/2026)
RR
District of Columbia
(4/24/2026)
RR
Florida
(4/24/2026)
RR
Georgia
(4/24/2026)
RR
Hawaii
(4/24/2026)
RR
Idaho
(4/24/2026)
RR
Illinois
(4/24/2026)
RR
Indiana
(4/24/2026)
RR
Iowa
(4/24/2026)
RR
Kansas
(4/24/2026)
RR
Kentucky
(4/24/2026)
RR
Louisiana
(4/24/2026)
RR
Maine
(4/24/2026)
RR
Maryland
(4/24/2026)
RR
Massachusetts
(4/24/2026)
RR
Michigan
(4/24/2026)
RR
Minnesota
(4/24/2026)
RR
Mississippi
(4/24/2026)
RR
Missouri
(4/24/2026)
RR
Montana
(4/24/2026)
RR
Nebraska
(4/24/2026)
RR
Nevada
(4/24/2026)
RR
New Hampshire
(4/24/2026)
RR
New Jersey
(4/24/2026)
RR
New Mexico
(4/24/2026)
RR
New York
(4/24/2026)
RR
North Carolina
(4/24/2026)
RR
North Dakota
(4/24/2026)
RR
Ohio
(4/24/2026)
RR
Oklahoma
(4/24/2026)
RR
Oregon
(4/24/2026)
RR
Pennsylvania
(4/24/2026)
RR
Puerto Rico
(4/24/2026)
RR
Rhode Island
(4/24/2026)
RR
South Carolina
(4/24/2026)
RR
South Dakota
(4/24/2026)
RR
Tennessee
(4/24/2026)
RR
Texas
(4/24/2026)
RR
Utah
(4/24/2026)
RR
Vermont
(4/24/2026)
RR
Virgin Islands
(4/24/2026)
RR
Virginia
(4/24/2026)
RR
Washington
(4/24/2026)
RR
West Virginia
(4/24/2026)
RR
Wisconsin
(4/24/2026)
RR
Wyoming
(4/24/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/24/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477Andover, MA 01810

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