Theodore L. Brooks
Professional summary
Theodore Leonard Brooks, who also goes by Ted Brooks Jr, Theodore Leonard Brooks Jr, T Brooks Jr, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in North Haven, Connecticut and INNOVATION PARTNERS LLC located in North Haven, Connecticut.
Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Theodore has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Leonard Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 3, 2021 - Present
IP FINANCIAL ADVISORY SERVICES LLC
Office #1: 250 State St. Suite J1, North Haven, CT 06473January 29, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 250 State St. Suite J1, North Haven, CT 06473July 22, 2019 - February 1, 2021
SUPREME ALLIANCE LLC
July 17, 2019 - February 1, 2021
SUPREME ALLIANCE LLC
January 3, 2017 - March 14, 2019
LINCOLN INVESTMENT
August 2, 2016 - March 14, 2019
LEGEND ADVISORY, LLC
July 15, 2016 - January 3, 2017
LEGEND EQUITIES CORPORATION
May 16, 2012 - July 18, 2016
PLANMEMBER SECURITIES CORPORATION
May 4, 2012 - July 18, 2016
PLANMEMBER SECURITIES CORPORATION
November 24, 2010 - May 17, 2012
RETIREMENT PLAN ADVISORS, LLC
November 2, 2010 - May 23, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2008 - November 6, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - November 6, 2008
NATIONWIDE SECURITIES, LLC
January 4, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 14, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 13, 2006 - August 25, 2006
INVESTORS CAPITAL CORP.
March 13, 2006 - August 25, 2006
INVESTORS CAPITAL CORP.
September 19, 2005 - February 7, 2006
J.W. COLE FINANCIAL, INC.
January 12, 2005 - September 19, 2005
INVESTORS CAPITAL CORP.
April 16, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
April 8, 2003 - September 19, 2005
INVESTORS CAPITAL CORP.
November 2, 1999 - December 31, 2002
FFP SECURITIES, INC.
November 14, 1996 - October 22, 1999
FFP SECURITIES, INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/29/2021)
(2/3/2021)
(2/3/2021)
(9/10/2021)
(2/14/2021)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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Company Information
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772North Haven, CT 06473TRUST BUT VERIFY
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