Sean C. Brooks

FOCUS PARTNERS ADVISOR SOLUTIONS

BLOOMINGDALE, IL

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CRD#: 5770872

Professional summary

Sean C Brooks, AIF® is a registered financial advisor currently at FOCUS PARTNERS ADVISOR SOLUTIONS, LLC located in Bloomingdale, Illinois and FORESIDE FINANCIAL SERVICES, LLC located in Clayton, Missouri.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sean has worked at 8 firms and has passed the Series 65, Series 63, SIE 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)Focus Partners Advisor Solutions, LLC; Investment related, Registered Investment Advisor,Bloomingdale, IL, Divisional Manager, Maintain financial advisor relationships in the great lakes region; 06/19/2017; 160 hrs/mo; 160 hrs/trading/mo. 2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF BAM ADVISOR SERVICES, LLC, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER BAM ADVISOR SERVICES, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean C 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 14, 2018 - Present

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

BLOOMINGDALE, IL

Current

October 29, 2018 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Carondelet Plaza Suite 600, Clayton, MO 63105

CRD#: 148477

Clayton, MO

Past

July 5, 2017 - December 14, 2018

LWI FINANCIAL INC.

RIA

CRD#: 111861

Bloomingdale, IL

Past

July 5, 2017 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

August 15, 2014 - June 7, 2017

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 25, 2011 - June 16, 2017

ASSETMARK, INC.

RIA

CRD#: 109018

Bloomingdale, IL

Past

August 26, 2011 - November 13, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 8, 2010 - August 4, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PALATINE, IL

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".

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 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

Illinois
(10/29/2018)

IAR

Illinois
(12/14/2018)

Indiana
(1/4/2019)

Iowa
(1/7/2022)

Kansas
(1/3/2023)

Kentucky
(1/4/2019)

Michigan
(1/4/2019)

Minnesota
(1/7/2022)

Missouri
(1/7/2022)

IAR

Missouri
(7/8/2022)

Nevada
(1/3/2023)

North Dakota
(1/3/2023)

Ohio
(1/4/2019)

South Dakota
(1/3/2023)

West Virginia
(7/24/2020)

Wisconsin
(1/4/2019)

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 65

Date: 10/24/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/6/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

368

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	78,053
AUM (Assets Under Management)	$ 32,238,330,999

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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Firm Stability Insights

Sean C. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean C Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2011

Series 63

Date: 4/16/2010

SIE

Date: 10/1/2018

Series 6

Date: 4/6/2010

FINRA

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

TRUST BUT VERIFY

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