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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

2629 Plaza Parkway Suite A2, Wichita Falls, TX 76308 • 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
Mutual Of New York Ft. Worth TX 07/1996 Present
First Allied Securities, Inc. San Diego CA 02/2000 09/2022
First Allied Advisory Services, Inc. San Diego CA 07/2012 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Wichita Falls TX 09/2022 Present
  • 07/1996 → Present
    Mutual Of New York
    Ft. Worth, TX
  • 02/2000 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Wichita Falls, TX
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Wichita Falls, TX
  • 2000-02-08 → 2012-07-02
    First Allied Securities, Inc.
    Wichita Falls, TX
Other Businesses

1.)SELF - MAGICIAN 2.)B&B MARKETING; REAL ESTATE(RENT/INVEST/DEVELOP). 3.)KEVIN LYNN BROOKS; REGISTERED INVESTMENT ADVISOR. 4.)BROOKS FINANCIAL SERVICES; DBA. 5.) KEVIN L BROOKS PUBLISHING; AUTHOR; START DATE 01/01/2014; 80 HOURS PER MONTH. 6.) BROOKS LAND AND CATTLE COMPANY; RANCHER; START DATE 04/28/2015; 120 HOURS PER MONTH. 7.) Whiteside Museum of Natural History; Director; Non-Profit Organization; start date 08/01/2016; 4 hours per month. 8.) KEVIN BROOKS - INSURANCE; SOLE PROP; START DATE 04/03/2017; 160 HOURS PER MONTH 9.) MOUNTAIN HIDEAWAY BROKEN BOW, LLC; MANAGING MEMBER; REAL ESTATE; START DATE: 08/01/2022; 12 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-27
S63 Uniform Securities Agent State Law Examination 1990-10-12
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1990-10-12
Designations

View on SEC IAPD

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