William A Brooks

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-01-28 → 2012-02-28
  Pacific West Financial Consultants Inc
  Woodinville, WA
  Bellevue, WA
• 1998-12-15 → 2005-02-01
  Osaic Fa, Inc.
  Bellevue, WA

Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2021; APX NUMBER OF HOURS PER WEEK: 2-4; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG TERM CARE; 2) NAME OF OTHER BUSINESS: DBA WILLIAM BROOKS, INC. INVESTMENT RELATED: YES ADDRESS: 23515 NE NOVELTY HILL RD., STE. B221-104, REDMOND, WA 98053 NATURE OF BUSINESS: DBA FINANCIAL SERVICES START DATE: 07/01/2007 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES. 3) NAME OF OTHER BUSINESS: LAKE WASHINGTON YOUTH SOCCER ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 12312 134TH CT NE. REDMOND, WA 98052 NATURE OF BUSINESS: COMPETITIVE YOUTH SOCCER START DATE: 03/12/2016 POSITION/TITLE/RELATIONSHIP: REFEREE APX NUMBER OF HOURS PER WEEK: 2-8 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: REFEREE, PLAYER, AND GAME MANAGEMENT. 4) NAME OF OTHER BUSINESS: BILL BROOKS - INDEPENDENT CONTRACTOR; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SOCCER REFEREE; START DATE: 03/2016; POSITION/TITLE/RELATIONSHIP: SOCCER REFEREE; APX NUMBER OF HOURS PER WEEK: 10-20; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: CENTER REFEREE OR ASSISTAT REFEREE FOR SOCCER MATCHES;

Exams

• S66 Uniform Combined State Law Examination
  1998-11-12

Designations

• Certified Financial Planner
• Chartered Financial Consultant