Daniel Adam Brooks

Employer firm

Penn Advisory Group Inc. CRD 315991

$53.1M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting

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

Current Employers

Penn Advisory Group Inc.

1307 3Rd Street Sw, Mount Vernon, IA 52314 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-08-27
IA	RA	APPROVED	2025-08-29

AZ RA
APPROVED

Since 2026-08-27
IA RA
APPROVED

Since 2025-08-29

Branch Locations

1307 3Rd Street Sw, Mount Vernon, IA 52314 • United States

Peoria, AZ • 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
The Vanguard Group, Inc.	Scottsdale	AZ	08/2005	08/2025
Penn Advisory Group Inc.	Mount Vernon	IA	08/2025	Present

08/2005 → 08/2025

The Vanguard Group, Inc.

Scottsdale, AZ
08/2025 → Present

Penn Advisory Group Inc.

Mount Vernon, IA

Previous Registrations

2015-02-17 → 2025-09-10

Vanguard Advisers, Inc.

Scottsdale, AZ
2002-10-09 → 2004-04-15

A. G. Edwards & Sons, Inc.

Coralville, IA
2001-11-06 → 2002-10-04

Investment Advisors Corp

Coralville, IA

Other Businesses

NAME OF BUSINESS: SUNRISE MOUNTAIN HIGH SCHOOL GIRLS BASKETBALL BOOSTER CLUB NON-INVESTMENT RELATED ADDRESS: PEORIA, AZ NATURE OF BUSINESS: BOARD MEMBERSHIP POSITION: TREASURER START DATE: 05/2025 APPROXIMATE HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD TREASURER

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-06-17

S66 Uniform Combined State Law Examination

1999-06-17

Designations

Certified Financial Planner

Other Names

Daniel Adam Brooks

View on SEC IAPD