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Robert Jay Brooks

THE OAK Ridge Financial Services Group, Inc.

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About Robert Jay Brooks

Robert Brooks is a financial professional with over 30 years of experience in the industry. Robert is currently registered with The Oak Ridge Financial Services Group, Inc. and is based in Golden Valley, Minnesota. Robert has a strong background in providing financial advice and has held previous positions at various firms including Feltl & Company, RBC Capital Markets, LLC, Oppenheimer & Co. Inc., Wachovia Securities, LLC and RBC Dain Rauscher Inc.. Robert specializes in providing financial planning, portfolio management for individuals, and selection of other advisors to meet client needs.

Firm Information

Robert Brooks is currently registered with THE OAK Ridge Financial Services Group, Inc.. THE OAK Ridge Financial Services Group, Inc. is a corporation headquartered in GOLDEN VALLEY, MN, United States. Founded in March 1997, the firm offers a wide range of financial services, including financial planning, portfolio management for individuals, and selection of other advisers. They have a strong presence across the United States, with state registrations in all 50 states, as well as the District of Columbia and Virgin Islands. With over 30 licensed agents and investment advisor representatives, they serve a diverse clientele, including individuals, high-net-worth individuals, and insurance companies. Their regulatory assets under management exceed $456 million, demonstrating their expertise and experience in managing client assets.
THE OAK Ridge Financial Services Group, Inc.

701 XENIA AVENUE SOUTH

GOLDEN VALLEY, MN 55416-1089

$456.42M

Assets Under Management

Not reported

Total Clients

52

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Robert Brooks’s Registration & Firm History

MN

06/09/2023 - Present

THE OAK Ridge Financial Services Group, Inc. (GOLDEN VALLEY MN)

MN

08/01/2014 - 06/10/2023

FELTL & COMPANY (INVER GROVE HEIGHTS MN)

MN

03/08/2010 - 08/20/2014

RBC CAPITAL MARKETS, LLC (ST. PAUL MN)

MN

10/10/2005 - 03/16/2010

OPPENHEIMER & CO. INC. (MINNEAPOLIS MN)

MO

05/27/2003 - 10/13/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

03/09/1998 - 06/11/2003

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MN

02/03/1994 - 03/16/1998

JOHN G. KINNARD AND COMPANY, INCORPORATED (MINNEAPOLIS MN)

NY

07/31/1993 - 12/22/1993

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

NY

10/08/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

09/10/1991 - 09/11/1992

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

MN

02/25/1987 - 11/12/1991

MILLER, JOHNSON & KUEHN, INCORPORATED (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 04/29/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/13/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Robert Jay Brooks. Review regulatory record here.
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