David Andrew Brooks Sr
Professional Summary
David Andrew Brooks SR, who also goes by David Andrew Brooks, is a registered financial advisor currently at SMART WEALTH, LLC located in Omaha, Nebraska. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 12 firms and has passed the Series 66, Series 63, Series 65, Series 31, Series 7, Series 3, Series 24, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Andrew Brooks
Similar Advisors
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
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.
Similar Advisors
OSAIC WEALTH, INC.
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
Current Firm
RETIRE SMART | SMART WEALTH, LLC | SMART PRIVATE WEALTH PARTNERS
Contact Information
Main Address
13815 Fnb Parkway, Suite 400, Omaha, NE 68154Phone Number
(402) 369-7777# of Employees
41SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,660AUM (Assets Under Management)
$686,409,925Similar Advisors
OSAIC WEALTH, INC.
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.
Similar Advisors
OSAIC WEALTH, INC.
Primary Firm SEC Registration
RETIRE SMART | SMART WEALTH, LLC | SMART PRIVATE WEALTH PARTNERS
State Registrations and Notice Filings
(1/7/2022)
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 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2008About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2008About the Series 10 examSimilar Advisors
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view David Andrew Brooks SR's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
