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Detailed Report
DAVID ANDREW BROOKS SR
DAVID ANDREW BROOKS
CRD#: 4000767
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Investment Adviser
SMART WEALTH, LLCCRD#: 315496 13815 FNB PARKWAY, SUITE 400
OMAHA, NE 68154
Registration History
2008201020122014201620182020202220242026IASMART WEALTH, LLC (CRD# 315496)2022 - Present (3 years)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2017 - 2022 (4 years)IARETIREMENT WEALTH ADVISORS, INC. (CRD# 137658)2017 - 2017 (<1 year)IAVERUS WEALTH MANAGEMENT, LLC (CRD# 171447)2014 - 2017 (3 years)IACAPITAL ASSET ADVISORY SERVICE... (CRD# 110929)2012 - 2014 (2 years)IAJONATHAN ROBERTS ADVISORY GROU... (CRD# 112294)2012 - 2012 (<1 year)IABROKERSXPRESS LLC (CRD# 127081)2010 - 2012 (1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2009 - 2010 (1 year)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2009 - 2009 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2009 (1 year)IAMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2007 - 2008 (<1 year)
Disclosure(s)
View By:
1/25/2012
Employment Separation After Allegations
License(s)

State Registrations

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Arizona 2/16/2023
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Nebraska 1/7/2022
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Colorado 7/18/2023
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Nevada 9/18/2024
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Florida 3/14/2023
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Ohio 9/18/2024
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Indiana 11/15/2024
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South Carolina 11/8/2023
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Iowa 2/17/2023
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Texas 2/16/2023
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Kentucky 9/23/2024
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Virginia 9/19/2024
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Maryland 11/19/2024
Current Registration(s)
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SMART WEALTH, LLC (CRD#:315496)
13815 FNB PARKWAY, SUITE 400, OMAHA, NE 68154
Registered with this firm since 1/7/2022
Previous Registration(s)
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 12/04/2017 - 01/14/2022 AE WEALTH MANAGEMENT, LLC (CRD#:282580) Omaha, NE
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 05/09/2017 - 11/09/2017 RETIREMENT WEALTH ADVISORS, INC. (CRD#:137658) Omaha, NE
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 07/24/2014 - 07/20/2017 VERUS WEALTH MANAGEMENT, LLC (CRD#:171447) MELBOURNE, FL
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 06/28/2012 - 11/12/2014 CAPITAL ASSET ADVISORY SERVICES, LLC (CRD#:110929) WILLIAMSTON, MI
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 04/12/2012 - 06/13/2012 JONATHAN ROBERTS ADVISORY GROUP, INC. (CRD#:112294) ROCKLEDGE, FL
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 10/20/2010 - 01/27/2012 BROKERSXPRESS LLC (CRD#:127081) ROCKLEDGE, FL
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 10/05/2009 - 10/19/2010 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) VIERA, FL
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 08/07/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) VIERA, FL
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 02/07/2008 - 08/18/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) MELBOURNE, FL
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 08/14/2007 - 01/29/2008 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) MELBOURNE, FL
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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.
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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.