David A. Brooks

SMART WEALTH

Omaha, NE 68154

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CRD#: 4000767

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Andrew Brooks

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.

Retire SMART, LLC 13815 FNB Parkway, Suite 400, Omaha NE 68154 President and Licensed Insurance Agent (began in October of 2017) (Investment Related) Offers Insurance and Annuity products and may offer those products to clients of SMART Wealth, LLC 40 hours a month with 30% during trading business hours Too Hot Properties, LLC 13815 FNB Parkway, Suite 400, Omaha NE 68154 Owner (began in September of 2019) (Investment Related) Provides real estate rental properties 4 hours a month with 0% during trading business hours Tax SMART, LLC 13815 FNB Parkway, Suite 400, Omaha NE 68154 President (Began in February of 2020) (Not Investment Related) Provides Tax Prep and Tax Planning Services 16 hours a month with 25% during trading business hours) CLANE, LLC 13815 FNB Parkway, Suite 400, Omaha NE 68154 President (began in April of 2021) (Investment Related) Real Estate commercial/residential leasing company 2 hours a month with 0% percent during trading business hours Mid-West Learning, Inc. 13815 FNB Parkway, Suite 400, Omaha NE 68154 President (began in December of 2020) (Not Investment Related) Provides marketing and education and classroom space 4 hours a month with 0% during trading business hours Financially SMART, LLC 13815 FNB Parkway, Suite 400, Omaha NE 68154 Owner (began September 2024) 1 hour a month with 0% during trading business hours DMDN Insurance Company, Inc. 9290 Huntington Square, North Richland Hills, TX 76182 President (began December of 2023) (Investment Related) Provides pooled/captive insurance to reduce the cost to insure each of the other affiliated entities listed 1 hour a month with 0% during trading business hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Brooks SR'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®

None

Experience

Current

January 7, 2022 - Present

SMART WEALTH, LLC

Office #1: 13815 Fnb Parkway, Suite 400, Omaha, NE 68154

CRD#: 8209

MELBOURNE, FL

Past

October 11, 1999 - November 14, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

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

Arizona
(2/16/2023)

IAR

Colorado
(7/18/2023)

IAR

Florida
(3/14/2023)

IAR

Indiana
(11/15/2024)

IAR

Iowa
(2/17/2023)

IAR

Kentucky
(9/23/2024)

IAR

Maryland
(11/19/2024)

IAR

Nebraska
(1/7/2022)

IAR

Nevada
(9/18/2024)

IAR

Ohio
(9/18/2024)

IAR

South Carolina
(11/8/2023)

IAR

Texas
(2/16/2023)

IAR

Virginia
(9/19/2024)

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.

Series 10

Date: 11/17/2008

General Securities Sales Supervisor - General Module Examination

Current Firm

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

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Contact information

Main Address

13815 Fnb Parkway, Suite 400, Omaha, NE 68154

Mailing Address

Phone number

(402) 369-7777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART WEALTH 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts	3,291
AUM (Assets Under Management)	$ 448,397,840

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.

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David A. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Brooks SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

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CG ADVISORY SERVICES

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

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AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SMART WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2007

Series 63

Date: 9/16/1999

Series 65

Date: 9/10/1999

Series 31

Date: 8/24/2007

Series 7

Date: 7/25/2007

Series 3

Date: 10/14/1999

Series 24

Date: 11/20/2009

Series 9

Date: 12/13/2008

Series 10

Date: 11/17/2008

Current Firm

SMART WEALTH, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART WEALTH, LLC

TRUST BUT VERIFY

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