Brooks Christopher Berardi

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 03/2018
  Independent Financial Group, Llc
  Lake Oswego, OR
• 04/2014 → 02/2018
  Mccoy Foat Wealth Management Group, Llc
  Lake Oswego, OR
• 02/2019 → 05/2022
  Cuna Brokerage Services
  Battle Ground, WA
• 02/2019 → 05/2022
  Cuna Mutual Group
  Battle Ground, WA
• 02/2018 → 02/2019
  Unemployed
  Oregon City, OR
• 05/2022 → 08/2023
  Lpl Financial, Llc
  Battle Ground, WA
• 08/2023 → Present
  Mml Investors Services, Llc
  Battle Ground, WA
• 08/2023 → Present
  Massmutual Life Insurance Co
  Battle Ground, WA

Previous Registrations

• 2022-05-18 → 2023-08-22
  Lpl Financial Llc
  Battle Ground, WA
• 2019-02-06 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Battle Ground, WA
  Waverly, IA
• 2014-05-06 → 2018-03-14
  Executive Investment Services, Llc
  Lake Oswego, OR
• 2014-04-21 → 2014-04-28
  Independent Financial Group, Llc
  Lake Oswego, OR

Other Businesses

(1) Name: Tull Grass Ranch, LLC Inv Rel: Y Addr: 2705 NW 22nd Pl, Cape Coral, FL 33993, 2700 NW 26th Ter, Cape Coral, FL 33993, 918 NE 12th St, Cape Coral, FL 33909 Nature: Realtor/Real Estate Position: Co-owner Start Date: 02/15/2021 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0 Duties: Own the property and outsource the management. (2) Name: Tull Grass Ranch MO, LLC Inv Rel: Y Addr: 6500-6502 Marsh Ave, Kansas City, MO 64133, 6541-6543 Marsh Ave, Kansas City, MO 64133 Nature: Realtor/Real Estate Position: Co-owner Start Date: 02/15/2021 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0 Duties: Own the property and outsource the management. (3) Name: G&B 24 Clock, LLC Inv Rel: Y Addr: 12985 SW 135th Ave, Portland, OR 97045 Nature: Realtor/Real Estate Position: Member/Owner Start Date: 09/01/2009 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0 Duties: None; passive ownership. (4) NAME: Earnest Consulting Group (ECG) INV REL: Y ADD: Residential Address NATURE: Outside insurance POSITION: Partner START DATE: 11/01/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 10 DESCRIBE DUTIES: Presenting Credit Union owned Life insurance (CUOLI) to Credit Unions as an investment option for employee benefits costs. This is permissible with NCUA regulators. through Sammons (North America & Midland) are the leading providers. (5) Name: OM Financial Group LLC Inv Rel: Y Addr: 280 Congress St, Suite 1300, Boston MA 02210 Nature: LLC for pass through of advisory compensation Position: Advisor Start Date: 02/16/2024 No Hrs/Mo: 1 No/Hrs Mo dur trading: 1 Describe Duties: No duties or obligations. This is an LLC for advisory compensation.

Exams

• S66 Uniform Combined State Law Examination
  2014-04-17
• S63 Uniform Securities Agent State Law Examination
  2009-02-04