Daniel J. Brooks

INVESCO ADVISERS

Newtown, PA

CRD#: 5186502

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Professional summary

Daniel Joseph Brooks, who also goes by Dan Brooks, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Newtown, Pennsylvania and INVESCO DISTRIBUTORS, INC. located in Morristown, New Jersey.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan 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) - RIA

Click below to view Daniel Joseph Brooks's CRS (Customer Relationship Summary).

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 27, 2026 - Present

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

Newtown, PA

Current

May 27, 2026 - Present

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

Morristown, NJ

Past

December 18, 2007 - May 26, 2026

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

November 22, 2007 - May 26, 2026

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

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".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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.

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

Alabama
(5/27/2026)

Alaska
(5/27/2026)

Arizona
(5/27/2026)

Arkansas
(5/27/2026)

California
(5/27/2026)

Colorado
(5/27/2026)

Connecticut
(5/27/2026)

Delaware
(5/27/2026)

District of Columbia
(5/27/2026)

Florida
(5/27/2026)

Georgia
(5/27/2026)

Hawaii
(5/27/2026)

Idaho
(5/27/2026)

Illinois
(5/27/2026)

Indiana
(5/27/2026)

Iowa
(5/27/2026)

Kansas
(5/27/2026)

Kentucky
(5/27/2026)

Louisiana
(5/27/2026)

Maine
(5/27/2026)

Maryland
(5/27/2026)

Massachusetts
(5/27/2026)

Michigan
(5/27/2026)

Minnesota
(5/27/2026)

Mississippi
(5/27/2026)

Missouri
(5/27/2026)

Montana
(5/27/2026)

Nebraska
(5/27/2026)

Nevada
(5/27/2026)

New Hampshire
(5/27/2026)

New Jersey
(5/27/2026)

New Mexico
(5/27/2026)

New York
(5/27/2026)

North Carolina
(5/27/2026)

North Dakota
(5/27/2026)

Ohio
(5/27/2026)

Oklahoma
(5/27/2026)

Oregon
(5/27/2026)

Pennsylvania
(5/27/2026)

Puerto Rico
(5/27/2026)

Rhode Island
(5/27/2026)

South Carolina
(5/27/2026)

South Dakota
(5/27/2026)

Texas
(5/27/2026)

IAR

Texas
(5/27/2026)

Utah
(5/27/2026)

Vermont
(5/27/2026)

Virgin Islands
(5/27/2026)

Virginia
(5/27/2026)

Washington
(5/27/2026)

West Virginia
(5/27/2026)

Wisconsin
(5/27/2026)

Wyoming
(5/27/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (12/23/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
09/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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

Daniel J. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2007

FINRA

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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