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Brooke E. Morgan

PT ASSET MANAGEMENT
Houston, TX
Some features on this profile are disabled
CRD#: 6570030
BM

Professional summary

Brooke Elizabeth Morgan, who also goes by Brooke Elizabeth Tyler, Brooke Tyler, is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Houston, Texas and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Brooke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Brooke has worked at 7 firms and has passed the Series 63, Series 65, Series 7, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brooke Elizabeth Tyler | Brooke Tyler

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 Brooke Elizabeth Morgan'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

April 5, 2023 - Present

PT ASSET MANAGEMENT, LLC

Office #2: 500 W. Madison Street Suite 500, Chicago, IL 60661
RIA
CRD#: 107619
Houston, TX
Current

February 3, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
BD
CRD#: 16853
Chicago, IL
Past

April 20, 2021 - January 31, 2025

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

October 30, 2020 - April 16, 2021

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
AUSTIN, TX
Past

October 30, 2020 - April 16, 2021

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

March 18, 2019 - October 2, 2020

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
Houston, TX
Past

January 26, 2017 - October 2, 2020

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, 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".
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 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.
RR
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

RR
Arkansas
(2/3/2025)
IAR
Illinois
(4/5/2023)
RR
Louisiana
(2/3/2025)
RR
New Mexico
(2/3/2025)
RR
Oklahoma
(2/3/2025)
RR
Texas
(2/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/15/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/26/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 Approved)
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Contact information

Main Address
500 W. Madison Street Suite 500, Chicago, IL 60661
Mailing Address
Phone number
(312) 521-1000
Established
Firm type
Fiscal year end
# of Employees
52

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PTAM - FORM ADV PART 2 - MARCH 2023 (3/31/2025)

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 9,587,215,582

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.

Company Information

PT ASSET MANAGEMENT, LLC

CRD#: 107619Houston, TX

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