Richard N. Brooks
Professional summary
Richard Norman Brooks is a registered financial advisor currently at RNB WEALTH MANAGEMENT GROUP located in North Miami Beach, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Richard has worked at 7 firms and has passed the Series 63, Series 65, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Norman Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2009 - Present
RNB WEALTH MANAGEMENT GROUP
September 30, 2010 - December 5, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 28, 2005 - April 1, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 4, 2004 - April 1, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 16, 2001 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
July 13, 2001 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
October 10, 1996 - July 19, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1996 - February 6, 1997
PRINCIPAL SECURITIES, INC.
January 11, 1994 - March 25, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/3/2009)
(10/3/2024)
Exams
Current Firm
RNB WEALTH MANAGEMENT GROUP
CRD#: 148994 / SEC#: 801-69895
Contact information
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 50,935,018 |
Red Flags
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