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Joseph Kenneth Brooks

Ep Wealth Advisors

Westlake Village, CA

Torrance, CA

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Current Employers
Ep Wealth Advisors

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-15
  • CA RA
    APPROVED
    Since 2025-05-15

Branch Locations

5743 Corsa Avenue Suite 216, Westlake Village, CA 91362 • United States

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • 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
Nbs Financial Westlake Village CA 07/2002 04/2025
Ep Wealth Advisors, Llc. Torrance CA 04/2025 Present
  • 07/2002 → 04/2025
    Nbs Financial
    Westlake Village, CA
  • 04/2025 → Present
    Ep Wealth Advisors, Llc.
    Torrance, CA
Previous Registrations
  • 2015-12-16 → 2025-05-13
    Nbs Financial Services, Inc.
    Westlake Village, CA
  • 2006-11-15 → 2008-12-23
    Financial West Group
    Westlake Village, CA
    Westlake Village, CA
  • 2004-09-03 → 2004-12-02
    Financial West Group
    Westlake Village, CA
  • 1999-07-29 → 2002-07-16
    Charles Schwab & Co., Inc.
    Woodland Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-16
S63 Uniform Securities Agent State Law Examination 1992-07-17
  • S65 Uniform Investment Adviser Law Examination
    2015-12-16
  • S63 Uniform Securities Agent State Law Examination
    1992-07-17
Other Names
  • Joseph K Brooks
  • Joseph K Alba
  • Joseph K Alba

View on SEC IAPD

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