Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Andrew Brooks is a financial advisor with Smart Wealth, LLC, located in Omaha, NE. David has been in the financial industry for over 15 years and holds several industry certifications including Series 3, 7, 9, 10, 24, 31, 63, 65, and 66. David has prior experience working for companies such as Ameriprise Financial Services, Inc., UBS Financial Services, Inc., and Morgan Stanley & Co., Incorporated. David is registered to provide investment advice in Arizona, Colorado, Florida, Iowa, Kentucky, Nebraska, Nevada, Ohio, South Carolina, Texas, and Virginia.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
Financial planning fee
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2
NE
09/19/2024 - Present
Smart Wealth, LLC (OMAHA NE)
FL
01/27/2012 - 06/13/2012
J.W. COLE FINANCIAL, INC. (ROCKLEDGE FL)
FL
10/13/2010 - 01/27/2012
BROKERSXPRESS LLC (ROCKLEDGE FL)
FL
10/05/2009 - 10/19/2010
AMERIPRISE FINANCIAL SERVICES, INC. (VIERA FL)
FL
07/31/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (VIERA FL)
FL
01/31/2008 - 08/18/2009
UBS FINANCIAL SERVICES INC. (MELBOURNE FL)
FL
07/26/2007 - 01/29/2008
MORGAN STANLEY & CO., INCORPORATED (MELBOURNE FL)
NJ
10/11/1999 - 11/14/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 08/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/16/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 12/13/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/24/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 07/25/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/14/1999
Series 3 - National Commodity Futures Examination
Active
Inactive
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