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Richard Norman Brooks

Rnb Wealth Management Group

North Miami Beach, FL

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Current Employers
Rnb Wealth Management Group

North Miami Beach, FL • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-10-03
FL RA APPROVED 2009-03-03
  • NC RA
    APPROVED
    Since 2024-10-03
  • FL RA
    APPROVED
    Since 2009-03-03

Branch Locations

North Miami Beach, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rnb Wealth Management Group North Miami Beach FL 09/2004 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-05
S65 Uniform Investment Adviser Law Examination 1996-11-12
  • S63 Uniform Securities Agent State Law Examination
    1996-12-05
  • S65 Uniform Investment Adviser Law Examination
    1996-11-12

View on SEC IAPD

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