Stacey N. Brooks

MARIDEA WEALTH MANAGEMENT

MARIETTA, OH 45750

CRD#: 2903664

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Professional summary

Stacey Neal Brooks is a registered financial advisor currently at MARIDEA WEALTH MANAGEMENT located in Marietta, Ohio and PRIVATE CLIENT SERVICES, LLC located in Marietta, Ohio.

Stacey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stacey has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Stacey Neal 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

June 1, 2026 - Present

MARIDEA WEALTH MANAGEMENT

Office #1: 324 4th Street, Marietta, OH 45750

RIA

CRD#: 325523

MARIETTA, OH

Current

June 5, 2026 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 324 4th Street, Marietta, OH 45750

RIA

CRD#: 120222

Marietta, OH

Past

October 4, 2021 - June 15, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

MARIETTA, OH

Past

October 1, 2021 - June 15, 2026

LPL FINANCIAL LLC

CRD#: 6413

MARIETTA, OH

Past

February 27, 2012 - October 5, 2021

CETERA ADVISORS LLC

RIA

CRD#: 10299

MARIETTA, OH

Past

January 1, 2004 - October 5, 2021

CETERA ADVISORS LLC

CRD#: 10299

MARIETTA, OH

Past

June 23, 1997 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

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".

MARIDEA WEALTH MANAGEMENT

CRD#: 325523 / SEC#: 801-129360

RIA

Registered Investment Advisory firm - (1/31/2024 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.

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

Colorado
(6/5/2026)

North Carolina
(6/5/2026)

IAR

Ohio
(6/1/2026)

Ohio
(6/5/2026)

IAR

Texas
(6/2/2026)

West Virginia
(6/5/2026)

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: 3/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MARIDEA WEALTH MANAGEMENT

CRD#: 325523 / SEC#: 801-129360

RIA

Registered Investment Advisory firm - (1/31/2024 Approved)

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Contact information

Main Address

25 Kent Avenue Suite 401, Brooklyn, NY 11249

Mailing Address

Phone number

(347) 289-5227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/30/2026)

Regulatory assets under management

Total Number of Accounts	4,904
AUM (Assets Under Management)	$ 958,721,478

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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Stacey N. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacey Neal Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

Primary Firm SEC Registration

MARIDEA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1997

FINRA

Current Firm

MARIDEA WEALTH MANAGEMENT

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARIDEA WEALTH MANAGEMENT

TRUST BUT VERIFY

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