Robert C. Brooks

Some features on this profile are disabled

CRD#: 2169413

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Cyril Brooks, who also goes by Bobby Brooks, Robert C Brooks, Robert Cyril Brooks Mr, Robert Cyril Brooks, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

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.

CRD#: 16853

DENVER, CO

Past

October 19, 2020 - June 18, 2021

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

October 20, 2016 - August 24, 2020

DWS DISTRIBUTORS, INC.

CRD#: 37306

BOSTON, MA

Past

January 12, 2016 - August 11, 2016

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

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.

CRD#: 7369

MANCHESTER, MA

Past

July 19, 2006 - September 18, 2006

ALPS DISTRIBUTORS, INC.

CRD#: 16853

WHEATON, IL

Past

August 14, 2001 - May 5, 2006

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

January 24, 1996 - July 31, 2001

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

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".

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/24/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1997

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: 1/23/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/2/1998

General Securities Principal Examination

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1214 East Cary Street, Richmond, VA 23219

Mailing Address

Phone number

(804) 549-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIG ADV PART 2 BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	977
AUM (Assets Under Management)	$ 1,183,036,522

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert C. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

GRIFFIN CAPITAL SECURITIES, LLC

DWS DISTRIBUTORS, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2024

Series 63

Date: 10/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/23/1996

Series 24

Date: 12/2/1998

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERFRONT INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors