Wayne BrooksCRD Number: 2142197
Current Firm: One Hopper Asset Management
Wayne Brooks (CRD# 2142197) is an Investment Advisor Representative working at One Hopper Asset Management in Utica, NY and has over 24 years of experience in the finance industry.
Royal Alliance Associates, Inc.
Equitable Advisors, LLC
|One Hopper Asset Management||Utica, NY||Dec 2013 - Current||8|
|Leigh Baldwin & Company, LLC||Cazenovia, NY||Aug 1997 - Current||25|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1997|
|S65||NASAA Investment Advisors Law Examination||Jul 2013|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management36MILLIONS
Total Number of Accounts81ACCOUNTS
Average Account Value$449,488
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
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