WB
William D. Brooks
VIRTUE CAPITAL MANAGEMENT
LAKE MARY, FL 32746
Some features on this profile are disabled
CRD#: 2491366
WB
Professional summary
William Daniel Brooks, who also goes by Dan Brooks, is a registered financial advisor currently at VIRTUE CAPITAL MANAGEMENT, LLC located in Lake Mary, Florida.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. William has worked at 12 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Brooks
Other business activities
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.
(1) XEXIS PRIVATE WEALTH INVESTMENT�, Title: OWNER, Description: INSURANCE AND ANNUITY SALES�, Start Date: 04-01-2005, Address: 1540 INTERNATIONAL PARKWAY 2ND FLOOR LAKE MARY, FL 32746�, Investment-related? YES, Hours per month: 120, During trading hours: 120 (2) AXE THE TAX SERVICES, LLC�, Title: OWNER, Description: ADVISE CLIENTS ON TAX PREPARATION SERVICES�, Start Date: 11-01-2019, Address: 1540 INTERNATIONAL PARKWAY LAKE WAY, FL, Investment-related? NO, Hours per month: 5, During trading hours: 5 (3) ASSOCIATION OF FINANCIAL CONSULTANTS, Title: EDUCATOR, Description: NON-PROFIT THAT WE WORK WITH TO HOST EDUCATIONAL EVENTS, Start Date: 4/1/2024, Address: 125 E INDIANA AVE SUITE B, DELAND, FL 32724, Investment-related? NO, Hours per month: 8, During trading hours: 4
CRS (Client Relationship Summary) - RIA
Click below to view William Daniel Brooks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 17, 2019 - Present
VIRTUE CAPITAL MANAGEMENT, LLC
Office #1: 1540 International Parkway Suite 2000, Lake Mary, FL 32746RIA
CRD#: 167816
LAKE MARY, FL
Past
November 15, 2018 - February 6, 2019
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Lake Mary, FL
Past
July 12, 2013 - October 24, 2018
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
LAKE MARY, FL
Past
July 28, 2011 - December 6, 2012
ROYAL FUND MANAGEMENT, LLC
RIA
CRD#: 144434
THE VILLAGES, FL
Past
April 29, 2005 - August 23, 2012
XEXIS, INC.
RIA
CRD#: 134916
LONGWOOD, FL
Past
May 19, 2003 - March 11, 2005
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
January 3, 2003 - February 14, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
August 30, 2000 - September 30, 2002
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
February 26, 1999 - August 18, 2000
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Past
August 30, 1995 - February 11, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
August 1, 1994 - March 7, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 1, 1994 - March 7, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)California
Registered Investment Advisory firm - (7/31/2014 Terminated)Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(6/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)California
Registered Investment Advisory firm - (7/31/2014 Terminated)Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6 Cadillac Dr. Suite 310, Brentwood, TN 37027
Mailing Address
Phone number
(615) 340-0801
Established
Firm type
Fiscal year end
# of Employees
110
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,111 |
| AUM (Assets Under Management) | $ 787,466,707 |
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.
Company Information
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816Lake Mary, FL 32746TRUST BUT VERIFY
Monitor William Brooks
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
