Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Spaulding Brookes is a financial advisor who has been working in the industry since April 2, 1990. David has been registered as a broker with the state of California and has served as a registered representative at several firms, including Sentra Securities Corporation and Kirlin Securities Inc. David is currently employed by Osaic Wealth, Inc. and has been registered with them since September 1, 2023. David is licensed to offer financial planning services in the state of Arizona and California and specializes in serving the needs of high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth individuals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
1
2
CA
09/01/2023 - Present
Osaic Wealth, Inc. (SAN DIEGO CA)
CA
10/31/2005 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SAN DIEGO CA)
AZ
04/17/2000 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
NY
09/29/1999 - 04/25/2000
KIRLIN SECURITIES INC. (SYOSSET NY)
CA
03/20/1990 - 09/14/1999
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
BOTH
Issued 10/04/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure David Brookes is the right advisor for you? Invested Better is here to help.
