Sheila M. Brooks

SOUTHBRIDGE CAPITAL PARTNERS LLC

CHATTANOOGA, TN 37403

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CRD#: 6075655

Professional summary

Sheila Mae Brooks is a registered financial advisor currently at SOUTHBRIDGE CAPITAL PARTNERS LLC located in Chattanooga, Tennessee.

Sheila is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Sheila has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.) INDEPENDENT INSURANCE AGENT - 9/1/2014 - 407 E 5th Street, Suite B, Chattanooga, TN 37403 - Agent, Sell insurance, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sheila Mae 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®

None

Experience

Current

May 29, 2024 - Present

SOUTHBRIDGE CAPITAL PARTNERS LLC

Office #1: 407 E. 5th St Suite B, Chattanooga, TN 37403

RIA

CRD#: 331473

CHATTANOOGA, TN

Past

July 19, 2023 - May 7, 2024

TLG ADVISORS, INC.

RIA

CRD#: 111052

Chattanooga, TN

Past

July 19, 2023 - May 7, 2024

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 24, 2019 - July 20, 2023

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

CHATTANOOGA, TN

Past

April 16, 2019 - July 20, 2023

PRINCIPAL SECURITIES, INC.

CRD#: 1137

CHATTANOOGA, TN

Past

January 8, 2015 - April 5, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CHATTANOOGA, TN

Past

July 14, 2014 - April 5, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHATTANOOGA, TN

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

Tennessee
(5/29/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/24/2014

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: 7/14/2014

General Securities Representative Examination

Current Firm

SOUTHBRIDGE CAPITAL PARTNERS LLC

CRD#: 331473 / SEC#:

Tennessee

Registered Investment Advisory firm - (5/29/2024 Approved)

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Contact information

Main Address

407 E. 5th St Suite B, Chattanooga, TN 37403

Mailing Address

Phone number

(423) 413-2934

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 7,270,799

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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Sheila M. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sheila Mae Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHBRIDGE CAPITAL PARTNERS LLC

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/14/2014

Current Firm

SOUTHBRIDGE CAPITAL PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUTHBRIDGE CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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