Robert Alan Brooks

Employer firm

The Financial Group CRD 169966

$33.7M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• 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

• 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

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