Robert W. Brooks
Professional summary
Robert Warren Brooks, who also goes by Robert Warren Brooks IV, Robby Brooks Iv, Robert W Brooks Iv, Robert Warren Brooks Iv, Robert W Brooks, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Greensboro, North Carolina and FIDELITY BROKERAGE SERVICES LLC located in Jacksonville, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Warren Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
April 1, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4601 Touchton Rd East, Bldg 400, Jacksonville, FL 32246April 25, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 25, 2017 - February 14, 2022
MML INVESTORS SERVICES, LLC
March 25, 2017 - February 14, 2022
MML INVESTORS SERVICES, LLC
November 22, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 24, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 27, 2009 - October 26, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 27, 2009 - October 26, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2004 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 31, 2001 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/8/2022)
(4/8/2022)
(4/19/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/28/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/12/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/11/2022)
(4/11/2022)
(4/8/2022)
(4/12/2022)
(4/27/2022)
(4/11/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/18/2022)
(4/11/2022)
(4/8/2022)
(4/8/2022)
(4/10/2022)
(4/4/2022)
(3/31/2025)
(4/11/2022)
(4/8/2022)
(4/11/2022)
(4/28/2022)
(4/11/2022)
(4/19/2022)
(4/14/2022)
(4/11/2022)
(5/19/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/8/2022)
(4/11/2022)
(4/7/2022)
(4/11/2022)
(4/8/2022)
(4/12/2022)
Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
