Carla J. Brooks
Professional summary
Carla Jo Brooks, who also goes by Carla Jo Groszkruger, is a registered financial advisor currently at COMMERCE STREET INVESTMENT MANAGEMENT located in Dallas, Texas and COMMERCE STREET CAPITAL, LLC located in Dallas, Texas.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Carla has worked at 5 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carla Jo Brooks's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2008 - Present
COMMERCE STREET INVESTMENT MANAGEMENT
Office #1: 1445 Ross Avenue, Suite 2700, Dallas, TX 75202October 1, 2007 - Present
COMMERCE STREET CAPITAL, LLC
Office #1: 1445 Ross Ave. Suite 2700, Dallas, TX 75202May 19, 2006 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
December 18, 2002 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
Primary Firm SEC Registration
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2007)
(10/1/2008)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76 |
| AUM (Assets Under Management) | $ 876,451,597 |
Red Flags
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Company Information
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278Dallas, TX 75202TRUST BUT VERIFY
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