Martin Brooks, financial advisor Scottsdale AZ
81 score

Martin Brooks

CRD Number: 4507464
Current Firm: United Planners' Financial Services Of America A Limited Partner

Martin Brooks (CRD# 4507464) is an Investment Advisor Representative working at United Planners' Financial Services Of America A Limited Partner in Scottsdale, AZ and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
United Planners Financial Services Scottsdale, AZ Jun 2016 - Current < 1
Martin Brooks Independent Insurance Scottsdale, AZ Apr 2016 - Current < 1
Lee's Summit Mo Tif Commission Lee's Summit, MO Sep 2014 - Current 2
Heritage Investment Properties Lee's Summit, MO Oct 2008 - Current 8
Heritage Benefits Consulting Belton, MO Oct 2006 - Jun 2016 9
Cetera Advisors LLC Denver, CO Jan 2013 - Apr 2016 3
Multi-financial Securities Corporation Denver, CO Oct 2006 - Dec 2012 6
New England Securities Overland Park, KS Jan 2004 - Oct 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2002
S66 NASAA Uniform Combined State Law Examination May 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Martin E. Brooks
Phone Number: 480-991-0225
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    1,806
    MILLIONS
  • Total Number of Accounts
    9,587
    ACCOUNTS
  • Average Account Value
    $188,339
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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

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BADGES
81

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