Clifford John Brott Jr
CFP®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. Clifford is registered as an IAR (Investment Advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Planning
- Retirement Planning
- Comprehensive Financial Planning
Other Aliases
C J Brott
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL IDEAS | CAPITAL IDEAS, LLC | CAPITAL IDEAS, INC.
Contact Information
Main Address
12720 Hillcrest Rd Suite 910, Dallas, TX 75230Phone Number
(214) 750-4400# of Employees
5SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
270AUM (Assets Under Management)
$336,171,763Similar Advisors
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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.
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Primary Firm SEC Registration
CAPITAL IDEAS | CAPITAL IDEAS, LLC | CAPITAL IDEAS, INC.
State Registrations and Notice Filings
(5/1/1998)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Nov 1981PC — AMEX Put and Call Exam
Passed May 1977Series 1 — Registered Representative Examination
Passed May 1971Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Clifford John Brott JR's CRS (Customer Relationship Summary).
Services Offered by Clifford
- Investment Planning
- Retirement Planning
- Comprehensive Financial Planning
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