Michael O. Brooks

FOUNDERS FINANCIAL SECURITIES LLC

Towson, MD 21286

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CRD#: 2562243

Professional summary

Michael Owens Brooks, who also goes by Michael Brooks, is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Towson, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael 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) BROOKS FINANCIAL GROUP, INC.; INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 2/1/1992; CHAIRMAN & CEO; 60 HRS PER MONTH; 40 HRS DURING TRADING; FINANCIAL PLANNING, INCLUDING FIXED INS PRODUCTS, SECURITIES, TRUST SERVICES & FIXED PRODUCTS 2) FOUNDERS FINANCIAL LLC.; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 1/1/2005; GENERAL MANAGER; HOLDING COMPANY; OVERSIGHT AND MANAGEMENT 3) STRATEGIC LEADERSHIP SYSTEMS, LLC.; NON-INVESTMENT RELATED;1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 9/10/2013; WRITING AND CONSULTATION; 40 HRS PER MONTH; 0 HRS DURING TRADING; PUBLICATION WRITING, CONSULTATIVE TIME 4) BUSINESS SOLUTIONS GROUP; NON- INVESTMENT RELATED;1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 9/10/2013; STRATEGIC BUSINESS CONSULTING. CONSULTANT;20 HRS PER MONTH; 2 HRS DURING TRADING; HOURLY FEE-BASED CONSULTING WITH CLOSELY HELD BUSINESS OWNERS 5) JWB DOCUMENTARY, LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE RD TOWSON, MD 21286; START DATE: 2013; MANAGING MEMBER; 1-2 HRS PER MONTH; 0-1 HR DURING TRADING; CONSULT ON GREAT UNCLE JOE'S LIFE EXPERIENCES FOR DEVELOPMENT OF DOCUMENTARY 6) BUILDING FOR GOD COMMUNITY FOUNDATION, LEGAL ENTITY NAME: BFG FOUNDATION, INC.; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE RD, TOWSON MD 21286; START DATE: 1/1/2007; 501 C 3 COMMUNITY FOUNDATION; DIRECTOR; 20 HRS PER MONTH; 20 HRS DURING TRADING; RAISE FUNDS FOR FOUNDATION FOR DEPLOYMENT TO LOCAL CHARITIES 7) JOE BROOKS FOUNDATION FOR CONSERVATION & OUTDOOR EDUCATION, INC.; NON-INVESTMENT RELATED; 1020 CROMWELL BRIDGE RD, TOWSON MD 21286; START DATE: 4/2/2015; DIRECTOR; 1-2 HRS PER MONTH; 1 HR DURING TRADING; FOUNDATION TO SUPPORT CONSERVATION & OUTDOOR EDUCATION; FOUNDATION FORMED IN ASSOCIATION WITH JWB DOCUMENTARY LLC 8) CROMWELL CAPITAL PARTNERS, LLC; NON-INVESTMENT RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 10/2018; FOUNDER & CEO; 20 HRS PER MONTH; 15 HRS DURING TRADING; BUSINESS ACQUISITIONS & EQUITY; LLC ACQUIRES FIRMS IN THIS SPACE TO GROW AND PROTECT RELATIONSHIPS 9) MICHAEL O. BROOKS FUND, LLC; NON-INVESTMENT-RELATED;1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 9/1/2020; SOLE MEMBER; 5 HRS PER MONTH; 5 HRS DURING TRADING; INVESTING AND LENDING FOR BUSINESS OPPORTUNITIES; EVALUATE BUSINESS OPPORTUNITIES AS THEY ARISE AND DETERMINE LENDING OPPORTUNITIES TO AFFILIATED OR NON-AFFILIATED BUSINESS 10) 1026 CROMWELL BRIDGE LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 11/8/2019; OWNER; 10 HRS PER MONTH; 10 HRS DURING TRADING; RENTAL PROPERTY OVERSIGHT 11) 1020 CROMWELL BRIDGE ROAD LLC;NON-INVESTMENT RELATED; 1020 CROMWELL BRIDGE ROAD TOWSON, MD 21286; START DATE: 11/9/2005; BUILDING OWNER; 0 HRS PER MONTH; 0 HRS DURING TRADING; RENTAL PROPERTY 12) FOUNDERS FINANCIAL HOLDINGS; 1026 CROMWELL BRIDGE ROAD TOWSON, MD 21286; START DATE: 09/01/2022;OWNER; 0 HRS PER MONTH; 0 HRS DURING TRADING; HOLDING COMPANY FOR FF LLC UNITS. 13) Jared Michael Brooks, LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 10/31/2025; Managing Member; 0 Hours Per Month; 0 Hours During Trading; Loan funds to LLC Members. 14) Melissa Catherine Brooks, LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 10/31/2025; Managing Member; 0 Hours Per Month; 0 Hours During Trading; Loan funds to LLC Members. 15) Emily Helen Brooks, LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 10/31/2025; Managing Member; 0 Hours Per Month; 0 Hours During Trading; Loan funds to LLC Members. 16) Katelyn Clarke Brooks, LLC; NON-INVESTMENT-RELATED; 1020 CROMWELL BRIDGE ROAD, TOWSON, MD 21286; START DATE: 10/31/2025; Managing Member; 0 Hours Per Month; 0 Hours During Trading; Loan funds to LLC Members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Owens Brooks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Owens Brooks's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 18, 2006 - Present

FOUNDERS FINANCIAL SECURITIES LLC

Office #1: 1020 Cromwell Bridge Rd 2nd Floor, Towson, MD 21286

RIA

CRD#: 137945

Towson, MD

Current

July 18, 2006 - Present

FOUNDERS FINANCIAL SECURITIES LLC

Office #1: 1020 Cromwell Bridge Rd 2nd Floor, Towson, MD 21286

RIA

CRD#: 137945

Towson, MD

Past

January 17, 2003 - December 31, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

TOWSON, MD

Past

December 13, 1996 - December 31, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

TOWSON, MD

Past

March 13, 1995 - December 18, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

FOUNDERS FINANCIAL SECURITIES LLC

CRD#: 137945 / SEC#: 801-66892, 8-67137

RIA

Registered Investment Advisory firm - SEC (7/13/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/3/2019)

Colorado
(1/3/2019)

Delaware
(1/3/2019)

Florida
(8/3/2006)

Illinois
(1/3/2019)

Maryland
(7/18/2006)

IAR

Maryland
(7/18/2006)

Massachusetts
(7/18/2006)

Montana
(8/13/2024)

New Jersey
(7/18/2006)

New York
(1/3/2019)

North Carolina
(4/19/2007)

Ohio
(11/4/2010)

Pennsylvania
(12/9/2011)

South Carolina
(8/30/2010)

Tennessee
(1/3/2019)

Virginia
(10/20/2008)

Washington
(1/3/2019)

West Virginia
(1/3/2019)

Wisconsin
(1/3/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/27/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/10/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FOUNDERS FINANCIAL SECURITIES LLC

CRD#: 137945 / SEC#: 801-66892, 8-67137

RIA

Registered Investment Advisory firm - SEC (7/13/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1026 Cromwell Bridge Road Suite 100, Towson, MD 21286

Mailing Address

1026 Cromwell Bridge Road Suite 100, Towson, MD 21286

Phone number

(410) 308-9988

Established

Maryland since 09/21/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

141

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/25/2025)

Direct owners and executive officers

Name	Position	CRD#
FOUNDERS FINANCIAL LLC	MEMBER
KRCMA, JOSEPH VICTOR	CHIEF COMPLIANCE OFFICER	2790534
RECKAMP, JILL ANNE	FINOP	4767622
SHEPHERD, BRADLEY MATTHEW	CEO/ROSFP	2303045

Regulatory assets under management

Total Number of Accounts	17,774
AUM (Assets Under Management)	$ 3,317,831,000

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
07/29/2024	Cover Page	Report
09/20/2023	Cover Page	Report
11/07/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael O. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Owens Brooks's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Owens Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDERS FINANCIAL SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FOUNDERS FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1997

SIE

Date: 10/1/2018

Series 6

Date: 3/10/1995

FINRA

Current Firm

FOUNDERS FINANCIAL SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FOUNDERS FINANCIAL SECURITIES LLC

TRUST BUT VERIFY

Contact information

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