Stephen BrooksCRD Number: 1988905
Current Firm: Wells Fargo Advisors, LLC
Stephen Brooks (CRD# 1988905) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Tampa, FL and has over 17 years of experience in the finance industry. Stephen Brooks has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Wells Fargo Advisors LLC||Tampa, FL||Feb 2011 - Current||5|
|Morgan Stanley Smith Barney||Tampa, FL||Jun 2009 - Feb 2011||1|
|Citigroup Global Markets Inc.||Tampa, FL||Aug 1999 - Apr 2009||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1999|
|S65||NASAA Investment Advisors Law Examination||Oct 1999|
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV