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Detailed Report
ALLEN CARROLL BROOKS JR
ALLEN C BROOKS, ALLEN CARROLL BROOKS, CARY BROOKS, ALLEN C BROOKS JR
CRD#: 4286146
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 21486 TIMBERLAKE ROAD
LYNCHBURG, VA 24502
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 14200 E CENTREVILLE SQ
CENTREVILLE, VA 20121
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2014 (<1 year)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2020 - Present (5 years)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2019 - Present (5 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2018 - 2019 (<1 year)BBB&T INVESTMENT SERVICES, INC. (CRD# 33856)2005 - 2008 (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2005 (2 years)BEDWARD JONES (CRD# 250)2000 - 2002 (1 year)IABB&T INVESTMENT SERVICES, INC. (CRD# 33856)2006 - 2008 (2 years)
License(s)

State Registrations

B
District of Columbia 7/18/2019
B
South Carolina 9/4/2024
B
Florida 9/4/2024
B
South Dakota 9/4/2024
B
Maine 9/4/2024
B
Tennessee 9/4/2024
B
Maryland 7/2/2019
B
Texas 9/4/2024
B
Michigan 9/4/2024
B
Virginia 7/16/2019
B
New Mexico 9/4/2024
IA
Virginia 3/16/2020
B
North Carolina 9/4/2024
B
West Virginia 9/4/2024
B
Pennsylvania 9/4/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
21486 TIMBERLAKE ROAD, LYNCHBURG, VA 24502
Registered with this firm since 3/16/2020
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
14200 E CENTREVILLE SQ, CENTREVILLE, VA 20121
Registered with this firm since 7/1/2019
Previous Registration(s)
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B
 12/17/2018 - 07/16/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) LYNCHBURG, VA
IA
 11/08/2013 - 06/06/2014 EDWARD JONES (CRD#:250) LYNCHBURG, VA
B
 11/08/2013 - 06/06/2014 EDWARD JONES (CRD#:250) LYNCHBURG, VA
IA
 02/06/2013 - 11/19/2013 PNC INVESTMENTS (CRD#:129052) MONROEVILLE, PA
B
 02/01/2013 - 11/19/2013 PNC INVESTMENTS (CRD#:129052) MONROEVILLE, PA
IA
 06/15/2011 - 01/07/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREAT FALLS, VA
B
 06/15/2011 - 01/07/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREAT FALLS, VA
IA
 06/04/2008 - 06/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) LYNCHBURG, VA
B
 06/04/2008 - 06/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) LYNCHBURG, VA
IA
 06/06/2006 - 06/11/2008 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LYNCHBURG, VA
B
 10/25/2005 - 06/11/2008 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LYNCHBURG, VA
B
 02/03/2003 - 10/26/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 12/05/2000 - 02/04/2002 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.