Clifford J. Brott
CAPITAL IDEAS
Dallas, TX 75230
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CRD#: 31829
Professional summary
Clifford John Brott JR, CFP®, who also goes by C J Brott, is a registered financial advisor currently at CAPITAL IDEAS located in Dallas, Texas and RHODES SECURITIES, INC. located in Dallas, Texas.
Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Clifford has worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 5, PC, Series 1 and Series 24 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
C J Brott
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.) Rhodes Securities, Inc. (Member FINRA/SIPC); Registered Representative; started April 2020. 2.) Network of Community Ministries; Non-Investment Related; Richardson, Tx; Social Services; Director; 08/2023;Approximately 8 hours per month; Approximately 8 hours per month during securities trading hours; Board Member. 3.) Capital Ideas, Inc. (TX IA FIRM), investment advisor representative Dec 2022 4.) Alliance Financial Holdings LLC (holding company) April 2020
CRS (Client Relationship Summary) - RIA
Click below to view Clifford John Brott JR'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: 1985
Experience
Current
May 1, 1998 - Present
CAPITAL IDEAS
Office #1: 12720 Hillcrest Rd Suite 910, Dallas, TX 75230RIA
CRD#: 114352
Dallas, TX
Current
April 16, 2020 - Present
RHODES SECURITIES, INC.
Office #1: 12720 Hillcrest Dr Ste 910, Dallas, TX 75230BD
CRD#: 19610
Dallas, TX
Past
May 5, 2006 - April 22, 2020
ALLIANCE FINANCIAL GROUP, INC.
BD
CRD#: 28538
DALLAS, TX
Past
May 1, 1998 - May 8, 2006
RIVERSTONE WEALTH MANAGEMENT, INC.
BD
CRD#: 40418
AUSTIN, TX
Past
May 16, 1991 - May 21, 1998
WEBER INVESTMENT CORPORATION
BD
CRD#: 28346
DALLAS, TX
Past
June 7, 1971 - May 31, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.
BD
CRD#: 876
DALLAS, TX
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".
CI
CAPITAL IDEAS
CAPITAL IDEAS | CAPITAL IDEAS, INC.
CRD#: 114352 / SEC#: 801-66816
RIA
Registered Investment Advisory firm - (5/25/2006 Approved)Texas
Registered Investment Advisory firm - (5/30/2006 Terminated)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
California(4/16/2020)
RR
Florida(10/6/2023)
RR
Georgia(12/8/2020)
RR
Illinois(4/16/2020)
RR
Massachusetts(1/2/2024)
RR
Minnesota(10/6/2023)
RR
Mississippi(10/6/2023)
RR
Missouri(2/4/2025)
RR
New Jersey(4/16/2020)
RR
New York(11/9/2022)
RR
North Carolina(4/16/2020)
RR
Ohio(10/10/2023)
RR
Tennessee(10/6/2023)
IAR
Texas(5/1/1998)
RR
Texas(4/16/2020)
RR
Virginia(11/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/24/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 5/18/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 5/20/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPITAL IDEAS
CAPITAL IDEAS | CAPITAL IDEAS, INC.
CRD#: 114352 / SEC#: 801-66816
RIA
Registered Investment Advisory firm - (5/25/2006 Approved)Texas
Registered Investment Advisory firm - (5/30/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12720 Hillcrest Rd Suite 910, Dallas, TX 75230
Mailing Address
Phone number
(214) 750-4400
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 203 |
| AUM (Assets Under Management) | $ 277,035,209 |
Red Flags
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Company Information
CAPITAL IDEAS
CRD#: 114352Dallas, TX 75230TRUST BUT VERIFY
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Contact information
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