Ernest A. Brooks

CULVERT CAPITAL LLC

DOWNERS GROVE, IL 60515

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CRD#: 4742620

Professional summary

Ernest Adalbert Brooks, who also goes by Ernest Adalbert Brooks III, Ernest Adalbert Brooks, is a registered financial professional currently at CULVERT CAPITAL LLC located in Downers Grove, Illinois.

Ernest is registered as a RR (Registered Representative) and started their career in finance in 2004. Ernest has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ernest Adalbert Brooks Iii | Ernest Adalbert 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest Adalbert 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®

None

Experience

Current

May 2, 2025 - Present

CULVERT CAPITAL LLC

Office #1: 4901 Forest Ave Suite C, Downers Grove, IL 60515

CRD#: 313898

DOWNERS GROVE, IL

Past

June 27, 2023 - February 9, 2024

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031

Jersey City, NJ

Past

March 9, 2018 - November 28, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

January 2, 2015 - November 2, 2016

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

April 1, 2011 - January 2, 2015

NEWEDGE USA, LLC

CRD#: 36118

NEW YORK, NY

Past

January 4, 2010 - March 31, 2011

TICONDEROGA SECURITIES LLC

CRD#: 7671

NEW YORK, NY

Past

March 5, 2008 - January 12, 2010

NEWEDGE USA, LLC

CRD#: 36118

NEW YORK, NY

Past

February 23, 2006 - February 20, 2008

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

January 8, 2005 - February 10, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

April 21, 2004 - March 17, 2005

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

January 19, 2004 - January 14, 2005

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/3/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/4/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/15/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/22/2004

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CULVERT CAPITAL LLC

CRD#: 313898 / SEC#: , 8-70695

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

4901 Forest Ave Suite C, Downers Grove, IL 60515

Mailing Address

4901 Forest Ave Suite C, Downers Grove, IL 60515

Phone number

(312) 498-4667

Established

Delaware since 03/03/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WATERSHED TECHNOLOGIES LLC	SOLE MEMBER
BARRY, MICHAEL EDWARD	CEO, PRINCIPAL	1971845
CARROLL, JOHN DAVID	CHIEF COMPLIANCE OFFICER	5823357
CARROLL, JOHN DAVID	FINOP	5823357
CARROLL, JOHN DAVID	PRINCIPAL FINANCIAL OFFICER	5823357

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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Advisor Monitoring

Firm Stability Insights

Ernest A. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest Adalbert Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

DASH FINANCIAL TECHNOLOGIES LLC

TULLETT PREBON FINANCIAL SERVICES LLC

SG AMERICAS SECURITIES, LLC

NEWEDGE USA, LLC

TICONDEROGA SECURITIES LLC

NEWEDGE USA, LLC

NEWEDGE USA, LLC

TULLETT PREBON FINANCIAL SERVICES LLC

SARATOGA CAPITAL MARKETS

BURLINGTON CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/2004

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/4/2004

Series 7

Date: 1/15/2004

Series 24

Date: 1/27/2006

Series 4

Date: 12/22/2004

FINRA

Current Firm

CULVERT CAPITAL LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

CULVERT CAPITAL LLC

TRUST BUT VERIFY

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