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DB

David S. Brooks

BROOKS INVESTMENT ADVISORY SERVICE
Seymour, IN
Some features on this profile are disabled
CRD#: 4759564
DB

Professional summary

David Stanley Brooks is a registered financial advisor currently at BROOKS INVESTMENT ADVISORY SERVICE located in Seymour, Indiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. David has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view David Stanley 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

March 22, 2004 - Present

BROOKS INVESTMENT ADVISORY SERVICE

RIA
CRD#: 130367
Seymour, IN
Past

March 22, 2004 - December 31, 2012

BROOKS INVESTMENT ADVISORY SERVICE

RIA
CRD#: 130367
SEYMOUR, IN

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
Indiana
(3/22/2004)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/19/2002
Uniform Investment Adviser Law Examination

Current Firm

BI
BROOKS INVESTMENT ADVISORY SERVICE
BROOKS INVESTMENT ADVISORY SERVICE

CRD#: 130367 / SEC#:

Indiana
Registered Investment Advisory firm - (12/31/2012 Approved)
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Contact information

Main Address
Seymour, IN
Mailing Address
Phone number
(812) 522-6365
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 18,400,000

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.

Company Information

BROOKS INVESTMENT ADVISORY SERVICE

CRD#: 130367Seymour, IN

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