David Brooks, financial advisor Montgomery AL
93 score

David Brooks

CRD Number: 5600178
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Brooks (CRD# 5600178) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Montgomery, AL and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Montgomery, AL Feb 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Auburn, AL Sep 2012 - Current 4
The Vanguard Group Inc. Charlotte, NC Apr 2010 - Sep 2012 2
Financial Network El Segundo, CA Oct 2008 - Apr 2010 1
Financial Network - Carroll Financial Associates Charlotte, NC Jun 2009 - Mar 2010 < 1
Auburn Univerity Student Auburn, AL Aug 2006 - May 2009 2
Auburn University Auburn, AL Aug 2004 - May 2009 4
Carroll Financial Charlotte, NC Dec 2006 - Dec 2007 1
Parking Solutions Charlotte, NC Jun 2006 - Aug 2007 1
Parking Solutions Charlotte, NC May 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2009
S65 NASAA Investment Advisors Law Examination Oct 2012
Contact Info for David A. Brooks
Phone Number: 800-637-7455
Registered State(s):
  • AL
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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