Lonnie W. Brooks
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.
Lonnie Watkins Brooks III, CFP®, who also goes by Lonnie W Brooks, was a registered financial professional .
Lonnie is a previously registered financial professional and started their career in finance in 1972. Lonnie had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
February 17, 2016 - November 30, 2023
DISCIPLINED EQUITY MANAGEMENT, INC.
May 18, 2015 - November 27, 2015
MML INVESTORS SERVICES, LLC
May 15, 2015 - November 27, 2015
MML INVESTORS SERVICES, LLC
December 9, 2005 - April 27, 2015
MML INVESTORS SERVICES, LLC
August 17, 1998 - July 13, 2004
SPECTRUM STRATEGIES, L.L.C.
January 13, 1994 - December 8, 2005
MML INVESTORS SERVICES, LLC
January 10, 1994 - April 27, 2015
MML INVESTORS SERVICES, LLC
July 22, 1987 - December 20, 1993
NEW ENGLAND SECURITIES
July 20, 1972 - May 29, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
DISCIPLINED EQUITY MANAGEMENT, INC.
CRD#: 129436 / SEC#: 801-62624
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 1
Date: 7/18/1972
Registered Representative ExaminationCurrent Firm
DISCIPLINED EQUITY MANAGEMENT, INC.
CRD#: 129436 / SEC#: 801-62624
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 737 |
| AUM (Assets Under Management) | $ 389,678,684 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 04/06/2024 | ||
| 10/27/2022 |
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.
