Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carla? Claim Your ProfileCarla Jo Brooks is a registered representative and investment advisor representative with Commerce Street Investment Management. Carla has been in the industry since December 17, 2002 and has a wide range of experience. Carla holds multiple licenses including Series 7, 24, 66, 79 and 99TO. Carla has worked at several other firms including SAMCO Capital Markets, Inc., Penson Financial Services, Inc., and Service Asset Management Company. Carla is also a Managing Director for CS Keefe Ventures Fund III, LP.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
% of assets on committed capital, % of client investable assets
1
2
TX
10/01/2008 - Present
Commerce Street Investment Management (DALLAS TX)
TX
05/19/2006 - 10/01/2007
SAMCO CAPITAL MARKETS, INC. (DALLAS TX)
TX
02/03/2003 - 05/19/2006
PENSON FINANCIAL SERVICES, INC. (DALLAS TX)
TX
12/18/2002 - 02/03/2003
SERVICE ASSET MANAGEMENT COMPANY (AUSTIN TX)
BOTH
Issued 05/24/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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