Philip J. Brooks

REDWOOD FAMILY WEALTH LLC

ADDISON, TX 75001

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CRD#: 835586

Professional summary

Philip Jeffrey Brooks, who also goes by Phil Brooks, Philip J Brooks, is a registered financial advisor currently at REDWOOD FAMILY WEALTH LLC located in Addison, Texas and CABOT LODGE SECURITIES LLC located in Addison, Texas.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Philip has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Brooks | Philip J Brooks

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) Cabot Lodge Securities LLC; Investment related; New York, NY; Broker Dealer; Registered Representative; Start Date: 04/2020; approx 1 hour per month; zero hours during trading hours; trailing annuity commissions. (2) PJB Investment Advisors LLC, not investment related, LLC, Addison, TX, Principal, 4/2020, 1 hour per month; zero hours during trading hours, simply pass through entity to help pay office expenses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Jeffrey Brooks'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

January 18, 2025 - Present

REDWOOD FAMILY WEALTH LLC

Office #1: 15455 Dallas Pkwy Ste 1080b, Addison, TX 75001

RIA

CRD#: 334013

ADDISON, TX

Current

April 24, 2020 - Present

CABOT LODGE SECURITIES LLC

Office #1: 15455 Dallas Parkway Ste 1080b, Addison, TX 75001

CRD#: 159712

Addison, TX

Past

January 16, 2025 - February 3, 2025

XO WEALTH MANAGEMENT

RIA

CRD#: 281767

DALLAS, TX

Past

April 28, 2020 - December 31, 2024

XO WEALTH MANAGEMENT

RIA

CRD#: 281767

ADDISON, TX

Past

October 26, 2007 - April 15, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

DALLAS, TX

Past

October 26, 2007 - April 15, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

DALLAS, TX

Past

June 12, 2002 - November 13, 2007

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

PLANO, TX

Past

March 2, 1998 - November 13, 2007

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PLANO, TX

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 11, 1991 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

June 5, 1989 - November 28, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 26, 1978 - June 12, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

April 1, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

REDWOOD FAMILY WEALTH LLC

REDWOOD FAMILY WEALTH | REDWOOD FAMILY WEALTH LLC

CRD#: 334013 / SEC#: 801-131810

RIA

Registered Investment Advisory firm - (1/13/2025 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.

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

New York
(6/1/2020)

Texas
(4/28/2020)

IAR

Texas
(1/18/2025)

Utah
(4/27/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/6/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 3/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/25/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

REDWOOD FAMILY WEALTH LLC

REDWOOD FAMILY WEALTH | REDWOOD FAMILY WEALTH LLC

CRD#: 334013 / SEC#: 801-131810

RIA

Registered Investment Advisory firm - (1/13/2025 Approved)

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Contact information

Main Address

15455 Dallas Pkwy Ste 1080b, Addison, TX 75001

Mailing Address

Phone number

(469) 965-4001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REDWOOD FAMILY WEALTHADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	873
AUM (Assets Under Management)	$ 221,708,020

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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Advisor Monitoring

Firm Stability Insights

Philip J. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Jeffrey Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

XO WEALTH MANAGEMENT

XO WEALTH MANAGEMENT

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

REDWOOD FAMILY WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 3/2/1982

SIE

Date: 10/1/2018

Series 5

Date: 10/6/1981

PC

Date: 9/8/1977

Series 7

Date: 3/19/1977

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 6/25/1985

FINRA

Current Firm

REDWOOD FAMILY WEALTH LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDWOOD FAMILY WEALTH LLC

TRUST BUT VERIFY

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