DB
Dylan R. Brooks
VALEO FINANCIAL ADVISORS
Carmel, IN 46032-3357
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CRD#: 6854049
DB
Professional summary
Dylan Ray Brooks, CFP® is a registered financial advisor currently at VALEO FINANCIAL ADVISORS, LLC located in Carmel, Indiana.
Dylan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Dylan has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, 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) 11/5/19- Field and Main Investments- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s) -100%
2) 11/30/2020 - Field and Main Wealth Management - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Trust Officer - Start Date: 10/15/2019 - 40 Hours Per Month/10 Hours During Securities Trading - Manage relationships with the trust clients.
CRS (Client Relationship Summary) - RIA
Click below to view Dylan Ray 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®
Experience
Current
August 25, 2022 - Present
VALEO FINANCIAL ADVISORS, LLC
Office #1: 10 W. Carmel Dr Ste 400, Carmel, IN 46032-3357RIA
CRD#: 127132
Carmel, IN
Past
February 20, 2020 - February 2, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
HENDERSON, KY
Past
November 5, 2019 - February 2, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
HENDERSON, KY
Past
October 22, 2018 - October 8, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EVANSVILLE, IN
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".
VALEO FINANCIAL ADVISORS, LLC
VALEO FINANCIAL ADVISORS, LLC
CRD#: 127132 / SEC#: 801-66402
RIA
Registered Investment Advisory firm - (3/17/2006 Approved)California
Registered Investment Advisory firm - (4/21/2006 Terminated)Indiana
Registered Investment Advisory firm - (4/21/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/21/2006 Terminated)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
Indiana(8/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
VALEO FINANCIAL ADVISORS, LLC
VALEO FINANCIAL ADVISORS, LLC
CRD#: 127132 / SEC#: 801-66402
RIA
Registered Investment Advisory firm - (3/17/2006 Approved)California
Registered Investment Advisory firm - (4/21/2006 Terminated)Indiana
Registered Investment Advisory firm - (4/21/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/21/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 W. Carmel Dr Ste 400, Carmel, IN 46032-3357
Mailing Address
Phone number
(317) 218-6000
Established
Firm type
Fiscal year end
# of Employees
177
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 23,718 |
| AUM (Assets Under Management) | $ 10,639,940,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/28/2024 | ||
| 10/26/2023 | ||
| 01/26/2023 |
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.
