Colin Lynn Brooks
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VORPAHL WING ADVISORS, INC. | VORPAHL WING WEALTH ADVISORS, INC. | VORPAHL WING WEALTH ADVISORS | VORPAHL WING SECURITIES, INC. | VORPAHL WING SECURITIES INC. | VORPAHL WING SECURITIES
Contact Information
Main Address
421 W. Riverside Suite 1020, Spokane, WA 99201Mailing Address
421 W. Riverside Suite 1020, Spokane, WA 99201Phone Number
(509) 747-1749Established
Washington since 04/17/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
5SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
557AUM (Assets Under Management)
$124,400,000Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
VORPAHL WING ADVISORS, INC. | VORPAHL WING WEALTH ADVISORS, INC. | VORPAHL WING WEALTH ADVISORS | VORPAHL WING SECURITIES, INC. | VORPAHL WING SECURITIES INC. | VORPAHL WING SECURITIES
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Colin Lynn Brooks's CRS (Customer Relationship Summary).
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