Roger O. Brooks
Professional summary
Roger O'neil Brooks, AIF®, who also goes by Roger Oneil Brooks, is a registered financial advisor currently at STRATEGIC INVESTMENT MANAGEMENT located in Round Rock, Texas.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Roger has worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roger O'neil Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2004 - Present
STRATEGIC INVESTMENT MANAGEMENT
April 10, 2003 - August 12, 2003
BANC ONE SECURITIES CORPORATION
April 18, 1997 - October 29, 2002
CHARLES SCHWAB & CO., INC.
March 28, 1995 - April 11, 1997
TD AMERITRADE, INC.
October 4, 1994 - December 13, 1994
THE WELLINGTON GROUP, INC.
July 6, 1994 - October 8, 1994
BUTTONWOOD SECURITIES, INC.
May 19, 1994 - June 30, 1994
A. T. BROD & CO. INC.
April 14, 1994 - May 18, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
January 1, 1994 - March 25, 1994
CHATFIELD DEAN & CO., 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
(8/9/2022)
(2/10/2004)
Exams
Current Firm
STRATEGIC INVESTMENT MANAGEMENT
CRD#: 129949 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 323 |
| AUM (Assets Under Management) | $ 32,099,481 |
Red Flags
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