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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nikki? Claim Your ProfileNikki Leigh Brooks is a financial advisor in Dallas, Texas. Nikki Leigh Brooks has been in the industry since 2005. Currently, Nikki Leigh Brooks is registered with Prospera Financial Services, Inc. and has been with them since 2015. Prior to that, Nikki Leigh Brooks was employed by WELLS FARGO ADVISORS, LLC. Nikki Leigh Brooks has passed the Series 6, 7, 24, 26, 63 and 66 examinations. Nikki Leigh Brooks' specializations include investments in equities, fixed income, mutual funds, alternative investments, insurance and retirement planning.
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.
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.
Earned based on transactions or products sold.
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.
Percentage of assets under review
1
2
TX
07/13/2015 - Present
Prospera Financial Services, Inc. (DALLAS TX)
MO
05/20/2014 - 06/18/2015
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
MN
06/27/2013 - 04/24/2014
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
IL
05/11/2012 - 04/24/2014
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
CA
03/30/2012 - 04/24/2014
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
03/30/2012 - 04/24/2014
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
MO
05/15/2008 - 03/15/2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
WY
01/02/2008 - 03/28/2008
KAISER AND COMPANY (CHEYENNE WY)
IA
08/30/2006 - 12/13/2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (MARION IA)
IA
01/09/2006 - 09/25/2006
EAGLE ONE INVESTMENTS, LLC (WASHINGTON IA)
NY
06/06/2005 - 07/15/2005
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
IL
03/01/2005 - 03/21/2005
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
IL
11/27/2003 - 01/05/2005
MWA FINANCIAL SERVICES, INC. (ROCK ISLAND IL)
BOTH
Issued 02/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/27/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/26/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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