Theodore W. Brooks

NORDWAND ADVISORS

Radnor, PA 19087

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CRD#: 2860908

Professional summary

Theodore Wesley Brooks III, who also goes by Theodore W Brooks III, Theodore W Brooks, Theodore Wesley Brooks, Theodore Wesley Brooks III, is a registered financial advisor currently at NORDWAND ADVISORS located in Radnor, Pennsylvania and NORDWAND INVESTMENTS, LLC located in Radnor, Pennsylvania.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Theodore has worked at 8 firms and has passed the Series 63, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore W Brooks Iii | Theodore W Brooks | Theodore Wesley Brooks | Theodore Wesley Brooks Iii

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Wesley Brooks III'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

November 30, 2022 - Present

NORDWAND ADVISORS

Office #1: 150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087

RIA

CRD#: 322936

Radnor, PA

Current

April 6, 2023 - Present

NORDWAND INVESTMENTS, LLC

Office #1: 150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087

RIA

CRD#: 323829

Radnor, PA

Past

September 22, 2008 - September 25, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

DALLAS, TX

Past

July 19, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

BOSTON, MA

Past

January 17, 2003 - February 7, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 22, 1999 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

April 30, 1998 - July 8, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 30, 1998 - July 8, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, 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".

NORDWAND ADVISORS

NORDWAND ADVISORS | NORDWAND ADVISORY, LLC | NORDWAND ADVISORS, LLC

CRD#: 322936 / SEC#: 801-126490

RIA

Registered Investment Advisory firm - (9/2/2022 Approved)

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

Pennsylvania
(11/30/2022)

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.

Exams

State Security Law Exam

Series 63

Date: 5/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 4/24/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 4/29/1998

General Securities Representative Examination

Current Firm

NORDWAND ADVISORS

NORDWAND ADVISORS | NORDWAND ADVISORY, LLC | NORDWAND ADVISORS, LLC

CRD#: 322936 / SEC#: 801-126490

RIA

Registered Investment Advisory firm - (9/2/2022 Approved)

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Contact information

Main Address

150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087

Mailing Address

Phone number

(484) 630-2510

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/6/2025)

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 4,214,925,507

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.

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Advisor Monitoring

Firm Stability Insights

Theodore W. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Wesley Brooks III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORDWAND INVESTMENTS, LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORDWAND ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1998

Series 87

Date: 4/24/2006

Series 7

Date: 4/29/1998

Current Firm

NORDWAND ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORDWAND ADVISORS

TRUST BUT VERIFY

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