Jay W. Brooks

BROOKS, MOORE & ASSOCIATES

CHATTANOOGA, TN 37409-1239

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CRD#: 6915191

Professional summary

Jay William Brooks Jr. is a registered financial advisor currently at BROOKS, MOORE & ASSOCIATES, INC. located in Chattanooga, Tennessee.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Jay has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay William Brooks Jr.'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

May 17, 2018 - Present

BROOKS, MOORE & ASSOCIATES, INC.

Office #1: 3905 Saint Elmo Avenue, Chattanooga, TN 37409-1239

RIA

CRD#: 105716

CHATTANOOGA, TN

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".

BROOKS, MOORE & ASSOCIATES, INC.

BROOKS MONTAGUE & ASSOCIATES INC | BROOKS, MOORE & ASSOCIATES, INC.

CRD#: 105716 / SEC#: 801-26708

RIA

Registered Investment Advisory firm - (4/10/1986 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

Georgia
(6/1/2018)

IAR

Tennessee
(5/17/2018)

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 65

Date: 5/14/2018

Uniform Investment Adviser Law Examination

Current Firm

BROOKS, MOORE & ASSOCIATES, INC.

BROOKS MONTAGUE & ASSOCIATES INC | BROOKS, MOORE & ASSOCIATES, INC.

CRD#: 105716 / SEC#: 801-26708

RIA

Registered Investment Advisory firm - (4/10/1986 Approved)

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Contact information

Main Address

3905 Saint Elmo Avenue, Chattanooga, TN 37409-1239

Mailing Address

Phone number

(423) 756-8628

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 314,335,660

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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Jay W. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay William Brooks Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKS, MOORE & ASSOCIATES, INC.

Primary Firm SEC Registration

BROOKS, MOORE & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2018

Current Firm

BROOKS, MOORE & ASSOCIATES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKS, MOORE & ASSOCIATES, INC.

TRUST BUT VERIFY

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