Robert Brooks - Investment Adviser at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

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Detailed ReportReport

Robert Brooks

ROBERT ANTHONY BROOKS

CRD#: 2692260

Investment Adviser

Previous Broker

WEALTH ENHANCEMENT ADVISORY SERVICES, LLCCRD#: 116407

8909 N PORT WASHINGTON RD
SUITE 206
BAYSIDE, WI 53217

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Texas 6/14/2023

Wisconsin 6/15/2023

Current Registration(s)

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC (CRD#:116407)

8909 N PORT WASHINGTON RD SUITE 206, BAYSIDE, WI 53217

Registered with this firm since 6/14/2023

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	09/23/2022 - 05/08/2023	PREMIER ASSET MANAGEMENT LLC (CRD#:115439)	CHICAGO, IL
IA	06/10/2022 - 05/08/2023	1834 INVESTMENT ADVISORS CO. (CRD#:105435)	MILWAUKEE, WI
IA	05/16/2016 - 05/16/2022	JOHNSON WEALTH INC. (CRD#:125557)	MILWAUKEE, WI
IA	10/01/2007 - 06/02/2016	CLEARY GULL INC. (CRD#:45309)	MILWAUKEE, WI
B	10/01/2007 - 06/02/2016	CLEARY GULL INC. (CRD#:45309)	MILWAUKEE, WI
IA	04/11/2006 - 06/08/2007	VISION ASSET MANAGEMENT INC (CRD#:110412)	ROSEMONT, IL
B	11/28/2005 - 06/08/2007	VISION INVESTMENT SERVICES, INC. (CRD#:46609)	CRYSTAL LAKE, IL
B	12/07/2001 - 12/05/2005	NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)	MILWAUKEE, WI
B	07/17/1996 - 10/29/2001	STRONG INVESTMENTS, INC. (CRD#:15658)	MENOMONEE FALLS, WI

PREMIER ASSET MANAGEMENT LLC (CRD#:115439)

CHICAGO, IL

09/23/2022 - 05/08/2023

1834 INVESTMENT ADVISORS CO. (CRD#:105435)

MILWAUKEE, WI

06/10/2022 - 05/08/2023

JOHNSON WEALTH INC. (CRD#:125557)

MILWAUKEE, WI

05/16/2016 - 05/16/2022

CLEARY GULL INC. (CRD#:45309)

MILWAUKEE, WI

10/01/2007 - 06/02/2016

CLEARY GULL INC. (CRD#:45309)

MILWAUKEE, WI

10/01/2007 - 06/02/2016

VISION ASSET MANAGEMENT INC (CRD#:110412)

ROSEMONT, IL

04/11/2006 - 06/08/2007

VISION INVESTMENT SERVICES, INC. (CRD#:46609)

CRYSTAL LAKE, IL

11/28/2005 - 06/08/2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)

MILWAUKEE, WI

12/07/2001 - 12/05/2005

STRONG INVESTMENTS, INC. (CRD#:15658)

MENOMONEE FALLS, WI

07/17/1996 - 10/29/2001

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Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.