Adam M. Brooks
ABLE FINANCIAL GROUP | Managing Director
Scottsdale, AZ 85258
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CRD#: 3029639
Professional summary
Adam Michael Brooks, CFP® is a registered financial advisor currently at ABLE FINANCIAL GROUP, LLC located in Scottsdale, Arizona and PRIVATE CLIENT SERVICES, LLC located in Scottsdale, Arizona.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Adam has worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Insurance
Trading individual securities
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
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.
1) Altamira Properties, LLC. 8737 E Via de Commercio, Suite 100, Scottsdale, AZ 85258. Owner-occupied commercial building where Able Financial Group conducts business. Managing Partner. 10 hrs/mo; 0 during trading hrs. 2) McDonald Rental Property. 7209 E McDonald Drive, Unit 55, Scottsdale, AZ 85250. Personal Rental Property. Property Owner. 4 hrs/mo; 0 during trading hrs. 3) Highland Capital. 3535 Grandview Parkway, Suite 600, Birmingham, AL 35243. They are an MGA, providing us access to non variable products, and variable products in conjunction with Private Client Services. For our clients that need it, I and other Able reps will be helping clients access the annuities and insurance protection needed. 2 hrs/mo; 1 during trading hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Michael Brooks's 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®
CFP®
Start date: 2003
Experience
Current
January 9, 2023 - Present
ABLE FINANCIAL GROUP, LLC
Office #1: 8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258RIA
CRD#: 323646
Scottsdale, AZ
Current
January 9, 2023 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 120222
Scottsdale, AZ
Past
May 26, 2006 - February 7, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SCOTTSDALE, AZ
Past
May 26, 2006 - February 7, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SCOTTSDALE, AZ
Past
April 6, 2002 - June 15, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PHOENIX, AZ
Past
March 30, 2001 - June 15, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
May 20, 1998 - April 3, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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".
AF
ABLE FINANCIAL GROUP, LLC
ABLE FINANCIAL GROUP, LLC
CRD#: 323646 / SEC#: 801-127165
RIA
Registered Investment Advisory firm - (1/9/2023 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.RR
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
RR
Arizona(1/9/2023)
IAR
Arizona(1/10/2023)
RR
California(1/20/2023)
RR
Colorado(1/9/2023)
RR
Connecticut(1/10/2023)
RR
District of Columbia(1/9/2023)
RR
Florida(1/9/2023)
RR
Georgia(1/12/2023)
RR
Hawaii(1/13/2023)
RR
Idaho(1/10/2023)
RR
Illinois(2/3/2023)
RR
Indiana(1/2/2025)
RR
Iowa(6/8/2023)
RR
Kansas(1/20/2023)
RR
Louisiana(1/9/2023)
RR
Maine(1/18/2023)
RR
Maryland(1/9/2023)
RR
Massachusetts(1/18/2023)
RR
Michigan(1/20/2023)
RR
Minnesota(2/7/2023)
RR
Missouri(7/24/2023)
RR
Nevada(6/21/2023)
RR
New Jersey(1/18/2023)
RR
New Mexico(1/9/2023)
RR
New York(1/18/2023)
RR
North Carolina(1/20/2023)
RR
Ohio(8/14/2024)
RR
Oregon(1/20/2023)
RR
Pennsylvania(1/2/2025)
RR
Rhode Island(1/20/2023)
RR
South Carolina(1/20/2023)
RR
Tennessee(1/19/2023)
IAR
Texas(1/9/2023)
RR
Texas(1/18/2023)
RR
Utah(1/9/2023)
RR
Virginia(2/9/2023)
RR
Washington(1/18/2023)
RR
Wisconsin(1/18/2023)
RR
Wyoming(1/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ABLE FINANCIAL GROUP, LLC
ABLE FINANCIAL GROUP, LLC
CRD#: 323646 / SEC#: 801-127165
RIA
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Contact information
Main Address
8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258
Mailing Address
Phone number
(480) 258-6104
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,484 |
| AUM (Assets Under Management) | $ 570,987,107 |
Red Flags
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Company Information
ABLE FINANCIAL GROUP, LLC
Managing DirectorCRD#: 323646Scottsdale, AZ 85258TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
