Jace W. Brooks

Some features on this profile are disabled

CRD#: 4795155

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jace William Brooks was a registered financial professional .

Jace is a previously registered financial professional and started their career in finance in 2004. Jace had worked at 7 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

E4 Consulting, LLC; 3940 Millbrook Court, Suwanee, GA 30024; Consulting - business, management; President/Owner; Started in 2013; Hours/month: 2 (0 during trading hours); Business/management consulting.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2024 - October 1, 2024

SMITH & HOWARD WEALTH MANAGEMENT, LLC

RIA

CRD#: 109540

ATLANTA, GA

Past

December 1, 2009 - June 2, 2011

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

SUWANEE, GA

Past

November 20, 2009 - June 2, 2011

INVEST FINANCIAL CORPORATION

CRD#: 12984

SUWANEE, GA

Past

October 1, 2009 - November 16, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

JOHNS CREEK, GA

Past

September 25, 2009 - November 16, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

JOHNS CREEK, GA

Past

March 29, 2007 - February 11, 2009

RONALD BLUE & CO., LLC

RIA

CRD#: 104605

ATLANTA, GA

Past

May 1, 2006 - January 4, 2007

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

NORCROSS, GA

Past

October 17, 2005 - January 4, 2007

PRINCIPAL SECURITIES, INC.

CRD#: 1137

NORCROSS, GA

Past

September 8, 2004 - September 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SUWANEE, GA

Past

July 7, 2004 - September 16, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 7, 2004 - September 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SMITH & HOWARD WEALTH MANAGEMENT, LLC

SMITH & HOWARD FINANCIAL GROUP LLC | SMITH & HOWARD WEALTH MANAGEMENT, LLC

CRD#: 109540 / SEC#: 801-56734

RIA

Registered Investment Advisory firm - (8/2/1999 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/30/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/24/2009

General Securities Representative Examination

Current Firm

SMITH & HOWARD WEALTH MANAGEMENT, LLC

SMITH & HOWARD FINANCIAL GROUP LLC | SMITH & HOWARD WEALTH MANAGEMENT, LLC

CRD#: 109540 / SEC#: 801-56734

RIA

Registered Investment Advisory firm - (8/2/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

271 17th Street Nw Suite 2100, Atlanta, GA 30363

Mailing Address

Phone number

(404) 874-6244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMITH & HOWARD BROCHURE (12/18/2024)

Regulatory assets under management

Total Number of Accounts	685
AUM (Assets Under Management)	$ 646,535,276

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jace W. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

RONALD BLUE & CO., LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SMITH & HOWARD WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2024

Series 66

Date: 7/30/2004

Series 7

Date: 9/24/2009

Current Firm

SMITH & HOWARD WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH & HOWARD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors