Marc L. Brooks
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.
Marc Lawrence Brooks, CFP®, who also goes by Marc L Brooks, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2004. Marc had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - September 11, 2023
CHURCHILL MANAGEMENT GROUP
January 30, 2013 - April 29, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 26, 2012 - April 29, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 6, 2010 - April 30, 2012
ADP BROKER-DEALER, INC.
August 13, 2008 - July 14, 2010
FISHER INVESTMENTS
May 30, 2006 - July 31, 2008
STRATEGIC ADVISERS LLC
November 18, 2004 - July 31, 2008
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHURCHILL MANAGEMENT GROUP
CRD#: 109651 / SEC#: 801-4211
Contact information
Regulatory assets under management
| Total Number of Accounts | 20,501 |
| AUM (Assets Under Management) | $ 10,083,906,150 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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