Scott K. Brooks

BROOKS WEALTH MANAGEMENT

MOORPARK, CA

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CRD#: 7227609

Professional summary

Scott K Brooks, CFP® is a registered financial advisor currently at BROOKS WEALTH MANAGEMENT located in Moorpark, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Scott has worked at 2 firms 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.

Scott Brooks is registered as an investment adviser representative of Wambolt & Associates, LLC and provides advisory services to Clients of that firm. Scott Brooks will maintain this registration temporarily in order to easily transition clients. Advisory services provided to Clients of Wambolt & Associates, LLC are separate from any services provided to Clients of BWM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott K 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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

August 7, 2024 - Present

BROOKS WEALTH MANAGEMENT

RIA

CRD#: 332237

MOORPARK, CA

Past

December 14, 2021 - August 15, 2024

WAMBOLT & ASSOCIATES, LLC

RIA

CRD#: 153454

LITTLETON, CO

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

California
(8/7/2024)

IAR

Colorado
(9/20/2024)

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 65

Date: 12/14/2021

Uniform Investment Adviser Law Examination

Current Firm

BROOKS WEALTH MANAGEMENT

BROOKS WEALTH MANAGEMENT | BROOKS WEALTH MANAGEMENT LLC

CRD#: 332237 / SEC#:

California

Registered Investment Advisory firm - (8/7/2024 Approved)

Colorado

Registered Investment Advisory firm - (9/20/2024 Approved)

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Contact information

Main Address

Englewood, CO

Mailing Address

7350 E Progress Pl. Suite # 100, Greenwood Village, CO 80111

Phone number

(303) 962-2728

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 4,600,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Scott K. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott K Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKS WEALTH MANAGEMENT

WAMBOLT & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2021

Current Firm

BROOKS WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROOKS WEALTH MANAGEMENT

TRUST BUT VERIFY

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