Curtis BrooksCRD Number: 5902353
Current Firm: Bankers Life Advisory Services, Inc.
Curtis Brooks (CRD# 5902353) is an Investment Advisor Representative working at Bankers Life Advisory Services, Inc. in West Des Moines, IA and has over 4 years of experience in the finance industry.
Iron Horse Wealth Management, LLC
Lpl Financial LLC
Questar Asset Management, Inc.
|Bankers Life Securities, Inc.||West Des Moines, IA||May 2016 - Current||< 1|
|Proequities, Inc.||West Des Moines, IA||Apr 2011 - Current||5|
|Bankers Life & Casualty||West Des Moines, IA||Mar 2009 - Current||7|
|Mike Brooks Inc.||Knoxville, TN||Jan 1995 - Mar 2009||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2012|
|S65||NASAA Investment Advisors Law Examination||May 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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
CA, CT, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MO, NC, NE, NH, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WV