Derek Brooks

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → 11/2016
  Wells Fargo Advisors Llc
  Collegeville, PA
• 11/2016 → 07/2025
  Wells Fargo Clearing Services, Llc
  Collegeville, PA
• 07/2025 → Present
  Wells Fargo Advisors Financial Network, Llc
  Conshohocken, PA

Previous Registrations

• 2009-11-23 → 2025-07-31
  Wells Fargo Clearing Services, Llc
  Conshohocken, PA
  Collegeville, PA
  Wellesley, MA
  Conshohocken, PA
  Waltham, MA
  Weston, MA

Other Businesses

THE LIGHTS BAND LLC; NOT INV. RELATED; WESTON, MA; 20% OWNERSHIP; PLAY AND RELEASE ORIGINAL MUSIC CREATED BY BAND THE LIGHTS; START DATE 2/7/2024; 0 HRS DURING BUSINESS HOURS; DUTIES: PRACTICES AND GIGS.| WOOKS HOLDINGS LLC, NOT INV RELATED, CANANDAIGUA, NY, 50% OWNERSHIP, START 7/26/24, 1 HRS PER MONTH, 0 HRS DURING TRADING, CREATED TO PURCHASE 2ND HOME;| FRANK BROOKS FLORIO WEALTH MANAGEMENT LLC; INV RELATED; CONSHOHOCKEN, PA; START DATE 01/28/2025; 160 HOURS PER MONTH; 160 HOURS DURING TRADING/ FINANCIAL ADVISING BUSINESS THROUGH WELLS FARGO ADVISORS | ROCKPORT WEALTH, LLC; INV RELATED; WESTON, MA; 100% OWNERSHIP; 06/2025; 40 HOURS PER WEEK; 40 HOURS DURING TRADING; FINET PRACTICE CHILDREN'S CENTER OF WESTON; INV RELATED; WESTON,MA;FINANCE COMMITTEE MEMBER/TREASURER; START DATE: 11/16/2025; 5 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

• S66 Uniform Combined State Law Examination
  2009-11-21

Designations

• Certified Financial Planner