SB
Scott S. Brooks
NFSG
SAN CLEMENTE, CA 92672
Some features on this profile are disabled
CRD#: 3235252
SB
Professional summary
Scott Stanley Brooks is a registered financial advisor currently at NFSG CORPORATION located in San Clemente, California and NEWBRIDGE SECURITIES CORPORATION located in San Clemente, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 4 firms and has passed the Series 66, Series 63, 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.
1)GOLD COAST FINANCIAL GROUP (DBA),2753 CAMINO CAPISTRANO, BLDG B, 1ST FLOOR (B-1), SAN CLEMENTE, CA, - SECURITIES,PARTNER WITH JULIE MAINS FOR SECURITIES BUSINESS,JUNE 2008,PROVIDE FINANCIAL SERVICE. 2) GOLD COAST WEALTH ADVISORS (DBA): ACTING AS A SOLICITOR IN RECOMMENDING CLIENTS TO CLARAPHI RIA, ADVISING CLIENTS ABOUT OUR FEE BASED MONEY MANAGEMENT OPTIONS. 3) GOLD COAST WEALTH MANAGEMENT (DBA): ACTING AS A SOLICITOR IN RECOMMENDING CLIENTS TO CLARAPHI RIA, ADVISING CLIENTS ABOUT OUR FEE BASED MONEY MANAGEMENT OPTIONS. (THE ABOVE ARE SUB DIVISIONS OF THE CURRENTLY DISCLOSED GOLD COAST FINANCIAL GROUP) 4) SCOTT BROOKS- LANDLORD/RENTAL INCOME - RENT OUT MY CONDO IN ROSARITO, MEXICO, 5) DST (DEFERRED SALES TRUST) BY AND THROUGH GOLD COAST FINANCIAL GROUP: JULY 2016/AFFILIATE, ESTATE PLANNING TEAM REPRESENT AND MARKET FOR DEFERRED SALES TRUST 1-2 HOURS DURING/AFTER TRADING HOURS EXPLANING THE STRATEGY AS POTENTIALLY SUITABLE FOR CERTAIN CLIENTS IN CERTAIN CIRCUMSTANCES.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Stanley 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®
NoneExperience
Current
September 6, 2007 - Present
NFSG CORPORATION
Office #1: 2753 Camino Capistrano Bldg B 1st Floor (b-1), San Clemente, CA, 92672RIA
CRD#: 130814
SAN CLEMENTE, CA
Current
August 16, 2007 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 2753 Camino Capistrano Bldg B 1st Floor (b-1), San Clemente, CA, 92672BD
CRD#: 104065
San Clemente, CA
Past
June 20, 2007 - August 16, 2007
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
PASADENA, CA
Past
June 20, 2007 - August 16, 2007
WEDBUSH SECURITIES INC.
BD
CRD#: 877
PASADENA, CA
Past
January 19, 2005 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
IRVINE, CA
Past
August 30, 1999 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 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
Alabama(1/7/2025)
RR
Arizona(4/9/2008)
RR
Arkansas(4/1/2008)
RR
California(8/16/2007)
IAR
California(9/6/2007)
RR
Colorado(6/20/2008)
RR
Florida(8/30/2007)
RR
Hawaii(3/28/2008)
RR
Idaho(6/20/2008)
RR
Illinois(6/20/2008)
RR
Indiana(6/20/2008)
RR
Louisiana(5/8/2008)
IAR
Louisiana(1/8/2019)
RR
Maryland(5/27/2008)
RR
Michigan(4/1/2008)
RR
Minnesota(6/10/2008)
RR
Missouri(3/28/2008)
RR
Nevada(1/22/2021)
RR
New Jersey(6/9/2008)
RR
New Mexico(4/10/2008)
RR
New York(3/24/2008)
RR
North Carolina(6/24/2008)
RR
Oklahoma(7/7/2021)
RR
Oregon(5/8/2008)
RR
Pennsylvania(6/20/2008)
RR
South Carolina(2/4/2014)
RR
Texas(3/26/2008)
IAR
Texas(1/7/2019)
RR
Utah(6/20/2008)
RR
Virginia(6/9/2008)
RR
Washington(5/2/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
