EB
Eric C. Brooks
CAPITOL SECURITIES MANAGEMENT
Aberdeen, NC 28315
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CRD#: 4796746
EB
Professional summary
Eric Claude Brooks, who also goes by Eric Brooks, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Aberdeen, North Carolina.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2004. Eric has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Eric 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.
CRS (Client Relationship Summary) - BD
Click below to view Eric Claude 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®
NoneExperience
Current
July 14, 2020 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 750 N Sandhills Boulevard, Aberdeen, NC 28315RIA
BD
CRD#: 14169
Aberdeen, NC
Past
October 11, 2007 - June 30, 2020
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SOUTHERN PINES, NC
Past
July 7, 2004 - September 27, 2007
EDWARD JONES
BD
CRD#: 250
CARTHAGE, NC
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".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(4/13/2023)
RR
Illinois(6/28/2022)
RR
Kentucky(7/21/2020)
RR
Michigan(3/27/2024)
RR
Mississippi(2/15/2024)
RR
New Jersey(5/24/2024)
RR
New York(8/20/2024)
RR
North Carolina(7/20/2020)
RR
Ohio(7/21/2020)
RR
Pennsylvania(9/25/2024)
RR
South Dakota(11/19/2020)
RR
Texas(9/2/2025)
RR
Virginia(3/23/2022)
RR
West Virginia(4/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Aberdeen, NC 28315TRUST BUT VERIFY
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