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Scott G Brooks

LPl Enterprise, LLC

Matthews, NC

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-27
  • NC RA
    APPROVED
    Since 2024-11-27

Branch Locations

2501-A Plantation Center Drive, Matthews, NC 28105 • 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
Pruco Securities, Llc. Charlotte NC 07/2024 11/2024
Wells Fargo Charlotte NC 05/2020 04/2024
Brooks And Asociates Llc Fort Mill SC 08/2014 Present
Tucker Advisors Denver CO 05/2024 Present
Lpl Enterprise, Llc Charlotte NC 11/2024 Present
  • 07/2024 → 11/2024
    Pruco Securities, Llc.
    Charlotte, NC
  • 05/2020 → 04/2024
    Wells Fargo
    Charlotte, NC
  • 08/2014 → Present
    Brooks And Asociates Llc
    Fort Mill, SC
  • 05/2024 → Present
    Tucker Advisors
    Denver, CO
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Charlotte, NC
Other Businesses

1) 09/09/2025-Brooks & Associates LLC-Business Owner-Inv related-At Indian Land, SC-Start date 08/21/2014-0hrs/mth-0hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-25
  • S66 Uniform Combined State Law Examination
    2024-11-25

View on SEC IAPD

Other Firms

NEXUS CAPITAL INC
EDWARD JONES
FOUNDERS FINANCIAL SECURITIES LLC
FAMILY WEALTH PARTNERS, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
COMMONWEALTH FINANCIAL NETWORK
LPL FINANCIAL LLC

Other Investors

ANUP A DESAI
Nadir Kabir Noorani
AFZAL SADRUDDIN MITHWANI
Ashton L Dufresne
Collin J Brantmeyer
Joseph A Marano
BRADLEY PHILLIP KELLEN
DAVID REID

Other Offices

NEXUS CAPITAL INC · MATTHEWS, NC
EDWARD JONES · MATTHEWS, NC
FOUNDERS FINANCIAL SECURITIES LLC · Matthews, NC
LPL ENTERPRISE, LLC · MATTHEWS, NC
FAMILY WEALTH PARTNERS, LLC · MATTHEWS, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Matthews, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MATTHEWS, NC
LPL ENTERPRISE, LLC · STALLING, NC

More in Matthews, NC

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