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Jeffrey Brooks

Investment Adviser Representative at ALLWORTH FINANCIAL, L.P.

Vancouver, WACRD #4412813Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
34 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 34 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoDistrict of ColumbiaFloridaHawaiiIdahoIllinoisIndianaKansasLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNebraskaNevadaNew MexicoNorth CarolinaOregonPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/2/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 5/20/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/27/2006
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/9/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

Allworth Financial, L.P. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ALLWORTH FINANCIAL, L.P.Current
11/6/2024Vancouver, WA
ARBOR POINT ADVISORS
11/6/202011/7/2024Vancouver, WA
KMS FINANCIAL SERVICES, INC
7/26/201811/6/2020Vancouver, WA
CETERA ADVISORS LLC
2/28/20127/26/2018Vancouver, WA
PACIFIC WEST FINANCIAL CONSULTANTS INC
11/3/20062/28/2012Vancouver, WA

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Jeffrey Brooks has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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