Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Warren Brooks is a financial advisor who has been in the industry since 2001. Robert is currently registered with Fidelity Personal And Workplace Advisors, and has been registered with this firm since 2022. Previously, Robert was registered with MML INVESTORS SERVICES, LLC, MSI FINANCIAL SERVICES, INC., and Ameriprise Financial Services, Inc.. Robert holds a Series 63 and Series 65 license as well as a Series 7 and the SIE. Robert Warren Brooks is also registered in a number of states.
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.
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.
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2
NC
04/25/2022 - Present
Fidelity Personal AND Workplace Advisors (GREENSBORO NC)
NC
03/25/2017 - 02/14/2022
MML INVESTORS SERVICES, LLC (Winston Salem NC)
NC
10/24/2011 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (WINSTON-SALEM NC)
NC
02/27/2009 - 10/26/2011
AMERIPRISE FINANCIAL SERVICES, INC. (HIGH POINT NC)
NC
01/31/2001 - 03/05/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENSBORO NC)
IA
Issued 01/12/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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