Nikki Leigh Brooks

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 07/2015 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 2014-05-20 → 2015-06-18
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
• 2012-04-10 → 2014-04-24
  Cetera Wealth Services, Llc
  West Des Moines, IA
• 2008-05-15 → 2012-03-15
  Stifel, Nicolaus & Company, Incorporated
  St. Louis, MO
• 2006-08-30 → 2007-12-13
  Berthel, Fisher & Company Financial Services, Inc.
  Cedar Rapids, IA

Other Businesses

TAG 22 Enterprises LLC; Investment Related - No; 13326 Glenside Dr., Farmers Branch, TX 75234; Coach/Consultant; Owner; Start Date 04/2021; 5 Hours Per Month; 0 During Trading hours; Psychology-informed coaching and consulting.

Exams

• S66 Uniform Combined State Law Examination
  2006-02-06
• S63 Uniform Securities Agent State Law Examination
  2003-12-16

Other Names

• Nikki Leigh Porter
• Nikki Leigh Brooks