JB
Janise M. Brooks
PAX FINANCIAL GROUP
San Antonio, TX 78232
Some features on this profile are disabled
CRD#: 5474335
JB
Professional summary
Janise Margot Brooks is a registered financial advisor currently at PAX FINANCIAL GROUP located in San Antonio, Texas.
Janise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Janise has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
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.
1. 11/18/2010: No Business Name - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - PAX FINANCIAL GROUP - INVESTMENT RELATED - SAN ANTONIO, TX.
2. 3/21/2013: No Business Name - REAL ESTATE RENTAL - REAL ESTATE RENTAL IN BOERNE, TX - INVESTMENT RELATED - TIME SPENT 1% - BOERNE, TX.
3. 7/12/2013: No Business Name - REAL ESTATE RENTAL - I PURCHASED A HOME THAT IS GETTING SET UP TO BE RENTED OUT. - INVESTMENT RELATED - BOERNE, TX.
4. 7/13/2015: PAX INSURANCE SERVICES - INSURANCE AGENCY - INVESTMENT RELATED - 270 N. Loop 1604 E., Ste. 200, San Antonio, TX 78232 - STARTED 06/05/2015 - INSURANCE AGENCY OWNER - LIFE, HEALTH, DISABILITY, LTC - 20 HOURS PER MONTH /20 DURING SECURITIES TRADING
5. 07/18/2016: PAX Financial Group, LLC - Registered Investment Advisor Hybrid - DBA: (hybrid) PAX Financial Group, LLC - INV REL - 270 N Loop 1604 E, Ste. 200, San Antonio, TX 78232 - Start 07/08/2016 - Administrative- We do not charge an hourly fee at this time. We solely are paid by either commissions or a % based on assets under management. Our RIA is also our DBA for our LPL business. - 172 Hr/Mo; 6 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Janise Margot 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
June 15, 2016 - Present
PAX FINANCIAL GROUP
Office #1: 270 North Loop 1604 East Suite 200, San Antonio, TX 78232RIA
CRD#: 284164
San Antonio, TX
Past
August 20, 2010 - July 17, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN ANTONIO, TX
Past
May 7, 2008 - July 17, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN ANTONIO, TX
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".
PF
PAX FINANCIAL GROUP
PAX FINANCIAL GROUP | PAX FINANCIAL GROUP, LLC | PAX FINANCIAL GROUP INSURANCE SERVICES
CRD#: 284164 / SEC#: 801-107918
RIA
Registered Investment Advisory firm - (6/3/2016 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.Highlighted states indicate IAR registrations
IAR
Texas(6/15/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
PAX FINANCIAL GROUP
PAX FINANCIAL GROUP | PAX FINANCIAL GROUP, LLC | PAX FINANCIAL GROUP INSURANCE SERVICES
CRD#: 284164 / SEC#: 801-107918
RIA
Registered Investment Advisory firm - (6/3/2016 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
270 North Loop 1604 East Suite 200, San Antonio, TX 78232
Mailing Address
Phone number
(210) 881-5700
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,249 |
| AUM (Assets Under Management) | $ 728,473,115 |
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.
