Larry C. Rooks
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.
Larry Clay Rooks, CFP® was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1993. Larry had worked at 5 firms and has passed the Series 65, Series 63, 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
Start date: 1995
Experience
September 23, 2021 - October 16, 2023
ROOKS WEALTH ADVISORS, LLC
June 30, 2006 - December 31, 2015
ROOKS WEALTH MANAGEMENT, PLLC
April 26, 2001 - August 16, 2006
EVERGREEN MANAGEMENT, LLC
September 1, 2000 - December 31, 2008
TRIAD ADVISORS LLC
January 4, 1993 - September 26, 2000
AVANTAX INVESTMENT SERVICES, INC.
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
ROOKS WEALTH ADVISORS, LLC
CRD#: 316013 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 125 |
| AUM (Assets Under Management) | $ 53,500,000 |
Red Flags
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