Brooke E. Swain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brooke Estelle Swain, who also goes by Brooke Estelle Bartlett, Brooke Estelle Swain, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 2021. Brooke had worked at 2 firms and has passed the Series 65, Series 66 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2024 - October 22, 2024
BUCK WEALTH STRATEGIES, LLC
November 1, 2021 - November 17, 2022
ULRICH INVESTMENT CONSULTANTS
Primary Firm SEC Registration
BUCK WEALTH STRATEGIES, LLC
CRD#: 322138 / SEC#: 801-126075
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BUCK WEALTH STRATEGIES, LLC
CRD#: 322138 / SEC#: 801-126075
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,982 |
| AUM (Assets Under Management) | $ 565,377,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/03/2024 | ||
| 01/26/2024 |
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.
