Scott W. Brooks
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.
Scott William Brooks was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2025 - March 18, 2026
MERCER GLOBAL ADVISORS INC.
July 13, 2018 - June 28, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 14, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
May 29, 2015 - June 27, 2019
FIDELITY BROKERAGE SERVICES LLC
June 16, 2014 - May 18, 2015
NATIONWIDE INVESTMENT ADVISORS, LLC
May 29, 2014 - May 18, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 1, 2010 - April 30, 2014
INVESCO ADVISERS, INC.
September 15, 2005 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
January 1, 1999 - April 30, 2014
INVESCO DISTRIBUTORS, INC.
March 5, 1996 - November 9, 1998
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 |
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.
