Christopher Michael Brooks

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

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

• 06/2016 → 10/2020
  Schwab Priviate Client Investment Advisory, Inc.
  Indianapolis,, IN
• 06/2016 → 10/2020
  Charles Schwab & Co., Inc
  Indianapolis, IN
• 12/2020 → Present
  Equitable Advisors, Llc
  New York, NY
• 10/2020 → 12/2020
  Unemployed
  Greenwood, IN

Previous Registrations

• 2016-06-28 → 2020-10-28
  Schwab Wealth Advisory, Inc.
  Indianapolis, IN
• 2014-09-24 → 2016-06-06
  Tiaa-Cref Individual & Institutional Services, Llc
  Bloomington, IN
• 2014-02-19 → 2014-09-08
  Fifth Third Securities, Inc.
  Greenwood, IN
  Indianapolis, IN
  Indianapolis, IN
• 2010-01-25 → 2014-02-13
  Valic Financial Advisors, Inc.
  Carmel, IN
• 2005-01-03 → 2010-01-22
  Thrivent Investment Management Inc.
  Columbus, IN
  Greenwood, IN
  Greenwood, IN
  Greenwood, IN
  Columbus, IN
  Columbus, IN
  Greenwood
  Greenwood

Other Businesses

1) Sales Associate for Realty Benefit Services 1087 Mount Eyre Road Washington Crossing, PA 18977 Start date: 10/26/2021, 32 hours/month 2) Sales Associate for Dergalis Associates LLC 210 Lake Drive East, Suite 310 Cherry Hill, JN 08002, Start date 10/26/2021, 32 hours/month

Exams

• S66 Uniform Combined State Law Examination
  2004-12-23

Other Names

• Chris Brooks