Robert Alan Brooks

Current Employers

The Financial Group

21700 Copley Drive Suite 160, Diamond Bar, CA 91765 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-03-28
CA	RA	APPROVED	2014-02-18

TX RA
APPROVED_RES

Since 2018-03-28
CA RA
APPROVED

Since 2014-02-18

Branch Locations

21700 Copley Drive Suite 160, Diamond Bar, CA 91765 • 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

Organization	City	State	From	To
Tfg Investment Management, Llc Dba The Financial Group	Diamond Bar	CA	02/2014	Present

02/2014 → Present

Tfg Investment Management, Llc Dba The Financial Group

Diamond Bar, CA

Previous Registrations

2014-02-18 → 2014-06-09

The Financial Group

Diamond Bar, CA
1998-07-06 → 2014-02-25

Voya Financial Advisors, Inc.

San Marcos, CA

Diamond Bar, CA

Temecula, CA

Other Businesses

1)INDEPENDENT INSURANCE AGENT,YES,21700 E COPLEY DRIVE, SUITE 160, DIAMOND BAR, CA 91765,INDEPENDENT INSURANCE AGENT,INDEPENDENT INSURANCE AGENT,05/20/1986,160,160,SALES AND SERVICE OF FIXED INSURANCE PRODUCTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-03-30
S63	Uniform Securities Agent State Law Examination	1995-12-18

S65 Uniform Investment Adviser Law Examination

1998-03-30
S63 Uniform Securities Agent State Law Examination

1995-12-18

View on SEC IAPD

Current Employers

The Financial Group

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews