Daniel A. Brooks

PENN ADVISORY GROUP

Peoria, AZ

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CRD#: 3232861

Professional summary

Daniel Adam Brooks, CFP® is a registered financial advisor currently at PENN ADVISORY GROUP INC. located in Peoria, Arizona.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Daniel has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Adam 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^®

Certified Financial Planner

Start date: 2008

Experience

Current

August 29, 2025 - Present

PENN ADVISORY GROUP INC.

RIA

CRD#: 315991

Peoria, AZ

Past

February 17, 2015 - September 10, 2025

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

August 19, 2005 - September 10, 2025

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

October 9, 2002 - April 15, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CORALVILLE, IA

Past

October 9, 2002 - April 15, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 6, 2001 - October 4, 2002

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

CORALVILLE, IA

Past

August 20, 1999 - October 4, 2002

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

June 1, 1999 - July 21, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 1, 1999 - July 21, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Iowa
(8/29/2025)

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

State Security Law Exam

IAR

Series 66

Date: 6/17/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/29/2000

General Securities Principal Examination

Current Firm

PENN ADVISORY GROUP INC.

CRD#: 315991 / SEC#:

Iowa

Registered Investment Advisory firm - (9/30/2021 Approved)

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Contact information

Main Address

1307 3rd Street Sw, Mount Vernon, IA 52314

Mailing Address

Phone number

(319) 535-0262

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 27,821,691

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Daniel A. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Adam Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/28/1999

Series 24

Date: 6/29/2000

Current Firm

PENN ADVISORY GROUP INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENN ADVISORY GROUP INC.

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