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Detailed Report
LOUIS RUTHERFORD BROOKS JR.
Lou Brooks
CRD#: 7642326
IA
Investment Adviser
SMART WEALTH, LLCCRD#: 315496 13815 FNB PARKWAY, SUITE 400
OMAHA, NE 68154
Registration History
Oct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IASMART WEALTH, LLC (CRD# 315496)2022 - Present (2 years)
License(s)

State Registrations

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Arizona 2/22/2023
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Nebraska 9/30/2022
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Colorado 7/11/2023
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Nevada 8/5/2024
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Florida 3/14/2023
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Ohio 8/5/2024
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Indiana 8/4/2024
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South Carolina 11/2/2023
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Iowa 2/17/2023
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Texas 2/16/2023
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Kentucky 8/4/2024
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Virginia 8/4/2024
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Maryland 8/4/2024
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 9/30/2022
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.