Mary C. Brooker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Chappuis Brooker, who also goes by Mary Carol Brooker, Mary Brooker, Mary Carol Chappuis, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2001. Mary had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - December 2, 2014
CETERA INVESTMENT ADVISERS LLC
January 1, 2014 - December 2, 2014
CETERA INVESTMENT SERVICES LLC
December 12, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 13, 2013 - June 11, 2013
CETERA INVESTMENT SERVICES LLC
October 20, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
October 20, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
October 23, 2009 - May 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 14, 2001 - November 6, 2002
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 7/2/1996
Non-Member General Securities ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
