Roger C. Brooks
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.
Roger Charles Brooks was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1978. Roger had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - May 9, 2019
KESTRA ADVISORY SERVICES, LLC
July 9, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
July 9, 2003 - May 9, 2019
KESTRA INVESTMENT SERVICES, LLC
November 1, 2001 - July 1, 2003
WOODBURY FINANCIAL SERVICES, INC.
July 15, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 15, 1992 - November 19, 2001
SIGNATOR INVESTORS, INC.
May 2, 1986 - April 25, 1991
FORTH FINANCIAL SECURITIES, CORPORATION
October 20, 1980 - September 27, 1984
EQUITABLE ADVISORS, LLC
April 17, 1978 - September 27, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 1
Date: 4/10/1978
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
