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Jeffrey Brooks

Allworth Financial, L.P.

Vancouver, WA

Folsom, CA

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Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2025-06-18
TX RA APPROVED 2024-11-06
WA RA APPROVED 2024-11-06
  • OR RA
    APPROVED
    Since 2025-06-18
  • TX RA
    APPROVED
    Since 2024-11-06
  • WA RA
    APPROVED
    Since 2024-11-06

Branch Locations

1111 Main St Suite 700, Vancouver, WA 98660 • United States

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 01/2013 07/2018
Kms Financial Services, Inc. Seattle WA 07/2018 11/2020
Securities America, Inc. Vancouver WA 11/2020 06/2024
Arbor Point Advisors Vancouver WA 11/2020 10/2024
Osaic Wealth, Inc. Vancouver WA 06/2024 10/2024
Allworth Financial Vancouver WA 11/2024 Present
Aw Securities Vancouver WA 11/2024 Present
  • 01/2013 → 07/2018
    Cetera Advisors Llc
    Denver, CO
  • 07/2018 → 11/2020
    Kms Financial Services, Inc.
    Seattle, WA
  • 11/2020 → 06/2024
    Securities America, Inc.
    Vancouver, WA
  • 11/2020 → 10/2024
    Arbor Point Advisors
    Vancouver, WA
  • 06/2024 → 10/2024
    Osaic Wealth, Inc.
    Vancouver, WA
  • 11/2024 → Present
    Allworth Financial
    Vancouver, WA
  • 11/2024 → Present
    Aw Securities
    Vancouver, WA
Previous Registrations
  • 2020-11-06 → 2024-11-07
    Arbor Point Advisors
    Vancouver, WA
    Vancouver, WA
  • 2018-07-26 → 2020-11-06
    Kms Financial Services, Inc.
    Seattle, WA
    Vancouver, WA
    Seattle, WA
  • 2012-02-28 → 2018-07-26
    Cetera Advisors Llc
    Vancouver, WA
    Greenwood Village, CO
    Portland, OR
  • 2006-11-03 → 2012-02-28
    Pacific West Financial Consultants Inc
    Vancouver, WA
    Renton, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-02
S63 Uniform Securities Agent State Law Examination 2002-05-20
  • S66 Uniform Combined State Law Examination
    2006-11-02
  • S63 Uniform Securities Agent State Law Examination
    2002-05-20
Other Names
  • Jeff Richard Brooks
  • Jeffrey Richard Brooks

View on SEC IAPD

Other Firms

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AMERIPRISE FINANCIAL SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
COLUMBIA RIVER FINANCIAL GROUP
LPL FINANCIAL LLC
ONEAMERICA SECURITIES, INC.

Other Investors

DARREN CLARK BLANCHARD
JASON P BLANCHARD
Ethan Thomas Blanchard
Eric Schwartz
Matthew C Stroder
SHENA QUEN BARTLETT
JEFFREY SCOTT LUKOWIAK
Brian Jennings Harmon

Other Offices

OSAIC WEALTH, INC. · Vancouver, WA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · VANCOUVER, WA
OSAIC WEALTH, INC. · VANCOUVER, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Vancouver, WA
AMERIPRISE FINANCIAL SERVICES, LLC · VANCOUVER, WA
STATE FARM INVESTMENT MANAGEMENT CORP. · VANCOUVER, WA
COLUMBIA RIVER FINANCIAL GROUP · VANCOUVER, WA
LPL FINANCIAL LLC · VANCOUVER, WA

More in Vancouver, WA

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