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.

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

Always Fiduciary

Services Offered

Investment Planning

Retirement Planning

Comprehensive Financial Planning

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford John Brott JR'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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

May 1, 1998 - Present

CAPITAL IDEAS

Office #1: 12720 Hillcrest Rd Suite 910, Dallas, TX 75230

RIA

CRD#: 114352

DALLAS, TX

Past

April 16, 2020 - September 2, 2026

RHODES SECURITIES, INC.

CRD#: 19610

Dallas, TX

Past

May 5, 2006 - April 22, 2020

ALLIANCE FINANCIAL GROUP, INC.

CRD#: 28538

DALLAS, TX

Past

May 1, 1998 - May 8, 2006

RIVERSTONE WEALTH MANAGEMENT, INC.

CRD#: 40418

AUSTIN, TX

Past

May 16, 1991 - May 21, 1998

WEBER INVESTMENT CORPORATION

CRD#: 28346

DALLAS, TX

Past

June 7, 1971 - May 31, 1991

WEBER, HALL, SALE & ASSOCIATES, INC.

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".

CAPITAL IDEAS

CAPITAL IDEAS | CAPITAL IDEAS, LLC | 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(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

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 6/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Status Unavailable

Passed: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Status Unavailable

Passed: 11/24/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Status Unavailable

Passed: 5/18/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Status Unavailable

Passed: 5/20/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 11/27/2006

General Securities Principal Examination

Current Firm

CAPITAL IDEAS

CAPITAL IDEAS | CAPITAL IDEAS, LLC | 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)

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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

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/30/2026)

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 336,171,763

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.

Contact information

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clifford J. Brott

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford John Brott JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RHODES SECURITIES, INC.

ALLIANCE FINANCIAL GROUP, INC.

RIVERSTONE WEALTH MANAGEMENT, INC.

WEBER INVESTMENT CORPORATION

WEBER, HALL, SALE & ASSOCIATES, INC.

Primary Firm SEC Registration

CAPITAL IDEAS

State Registrations and Notice Filings

Exams

Series 63

Passed: 6/13/1991

Series 7TO

Passed: 1/2/2023

Series 99TO

Passed: 1/2/2023

SIE

Passed: 10/1/2018

Series 5

Passed: 11/24/1981

PC

Passed: 5/18/1977

Series 1

Passed: 5/20/1971

Series 24

Passed: 11/27/2006

Current Firm

CAPITAL IDEAS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL IDEAS

TRUST BUT VERIFY

Contact information

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