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Daniel Joseph Brooks
Daniel J. Brooks
CRD#: 6835547
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 3570 Carmel Mountain Road
Suite 120
San Diego, CA 92130
Registration History
20172018201920202021202220232024202520262 FIRMS2020 - 2021 (<1 year)2 FIRMS2023 - Present (1 year)BTD AMERITRADE, INC. (CRD# 7870)2023 - 2024 (1 year)BEDWARD JONES (CRD# 250)2017 - 2020 (2 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2023 - 2023 (<1 year)IAEDWARD JONES (CRD# 250)2018 - 2020 (2 years)
License(s)

State Registrations

B
Arizona 2/23/2023

B
New York 2/23/2023

B
California 2/23/2023

B
Oregon 3/7/2023

IA
California 8/11/2023

B
Pennsylvania 6/5/2023

B
Colorado 6/5/2023

B
Texas 6/5/2023

B
Florida 2/23/2023

B
Utah 2/24/2023

B
Idaho 2/23/2023

B
Washington 2/23/2023

B
Illinois 2/23/2023

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3570 Carmel Mountain Road Suite 120, San Diego, CA 92130
Registered with this firm since 8/11/2023

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3570 Carmel Mountain Road Suite 120, San Diego, CA 92130
Registered with this firm since 2/23/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/19/2023 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) San Diego, CA
IA
01/19/2023 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) San Diego, CA
IA
06/24/2020 - 02/10/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) CARLSBAD, CA
B
06/24/2020 - 02/10/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) CARLSBAD, CA
IA
01/24/2018 - 06/25/2020 EDWARD JONES (CRD#:250) CARLSBAD, CA
B
12/21/2017 - 06/25/2020 EDWARD JONES (CRD#:250) CARLSBAD, CA
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B
Broker
IA
Investment Adviser
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.