Christopher Colley Brooks
Professional Summary
Christopher Colley Brooks is a registered financial advisor currently at CETERA INVESTMENT SERVICES LLC located in Birmingham, Alabama. Christopher is registered as a RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Current Firm
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
Contact Information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283Phone Number
(320) 656-4300Established
Delaware since 11/30/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | — |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Disclosures
Regulatory Event
12Arbitration
3Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
State Registrations and Notice Filings
(3/9/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1995About the Series 6 examSRO Registrations
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT
CRS (Client Relationship Summary) - BD
Click below to view Christopher Colley Brooks's CRS (Customer Relationship Summary).
Similar Advisors
PLANMEMBER SECURITIES CORPORATION
PARK AVENUE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
HERON BAY CAPITAL MANAGEMENT