Wayne Brooks (CRD# 2142197) is an Investment Advisor Representative working at One Hopper Asset Management in Utica, NY and has over 26 years of experience in the finance industry.
CRD# 6282976
Osaic Wealth, Inc.
CRD# 6505675
Equitable Advisors, LLC
CRD# 5688534
Edward Jones
| Company Name | Location | Dates | Years |
|---|---|---|---|
| One Hopper Asset Management | Utica, NY | Dec 2013 - Current | 10 |
| Leigh Baldwin & Company, LLC | Cazenovia, NY | Aug 1997 - Current | 26 |
| 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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- FL
- NY
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Total Assets Under Management41MILLIONS
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Total Number of Accounts94ACCOUNTS
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Average Account Value$435,353
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
FL, NY
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