Colin L. Brooks

VORPAHL WING SECURITIES

Spokane, WA 99201

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CRD#: 2255807

Professional summary

Colin Lynn Brooks is a registered financial advisor currently at VORPAHL WING SECURITIES INC. located in Spokane, Washington.

Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Colin 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Lynn 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 11, 2019 - Present

VORPAHL WING SECURITIES INC.

Office #1: 421 W. Riverside Suite 1020, Spokane, WA 99201

CRD#: 16361

SPOKANE, WA

Past

November 6, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SPOKANE, WA

Past

April 28, 2006 - November 6, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SPOKANE, WA

Past

April 28, 2006 - November 6, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SPOKANE, WA

Past

September 20, 2000 - May 13, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SPOKANE, WA

Past

September 1, 2000 - May 13, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SPOKANE, WA

Past

May 25, 1993 - September 20, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 22, 1992 - March 20, 1993

SANDBERG SECURITIES, INC.

CRD#: 6378

SPOKANE, WA

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".

VORPAHL WING SECURITIES INC.

VORPAHL WING SECURITIES | VORPAHL WING SECURITIES, INC. | VORPAHL WING SECURITIES INC.

CRD#: 47548 / SEC#: 801-131969, 8-51823

RIA

Registered Investment Advisory firm - SEC (2/18/2025 Approved)

Idaho

Registered Investment Advisory firm - SEC (3/31/2025 Terminated)

Washington

Registered Investment Advisory firm - SEC (5/15/2025 Terminated)

Terminated by SEC on 03/03/2025

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.

Highlighted states indicate IAR registrations

IAR

Washington
(4/11/2019)

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: 8/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1992

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: 12/18/1992

General Securities Representative Examination

Current Firm

VORPAHL WING SECURITIES INC.

VORPAHL WING SECURITIES | VORPAHL WING SECURITIES, INC. | VORPAHL WING SECURITIES INC.

CRD#: 47548 / SEC#: 801-131969, 8-51823

RIA

Registered Investment Advisory firm - SEC (2/18/2025 Approved)

Idaho

Registered Investment Advisory firm - SEC (3/31/2025 Terminated)

Washington

Registered Investment Advisory firm - SEC (5/15/2025 Terminated)

Terminated by SEC on 03/03/2025

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Contact information

Main Address

421 W. Riverside Suite 1020, Spokane, WA 99201

Mailing Address

421 W. Riverside Suite 1020, Spokane, WA 99201

Phone number

(509) 747-1749

Established

Washington since 04/17/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (5/20/2025)

Direct owners and executive officers

Name	Position	CRD#
VORPAHL, TIM J.	CCO	1457312
VORPAHL, TIM JAMES	PRESIDENT,	1457312

Regulatory assets under management

Total Number of Accounts	520
AUM (Assets Under Management)	$ 107,000,000

Disclosures

Regulatory Event

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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Colin L. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Lynn Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

VORPAHL WING SECURITIES INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

SANDBERG SECURITIES, INC.

Primary Firm SEC Registration

VORPAHL WING SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1995

Series 63

Date: 7/28/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1992

Current Firm

VORPAHL WING SECURITIES INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VORPAHL WING SECURITIES INC.

TRUST BUT VERIFY

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