Unclaimed Profile

Wayne Irving Brooks

BROOKS, WAYNE I·UTICA, New York

SIE, Series 4, Series 7, Series 24, Series 62, Series 63, Series 65, Series 99TO5 years registeredBROOKS, WAYNE I

1 HOPPER STREET, UTICA, NY 13501CRD# 2142197Firm CRD# 168816

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Wayne Irving Brooks · UTICA, NY

Registration

CRD #2142197 · BROOKS, WAYNE I · 5 years registered

Brand Profile

Not yet started

Career History

ONE HOPPER ASSET MANAGEMENT

Apr 2021 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 62

Series 63

Series 65

Series 99TO

Registration record

First registered · April 22, 2021

Years registered · 5

Disclosure History

1995Criminal·Final Disposition

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

BROOKS, WAYNE I

CRD 168816 · SEC 801-126078

AUM

$41M

Regulatory assets under management

Employees

94 client accounts

Services offered by BROOKS, WAYNE I

Per Form ADV

Financial planning

Portfolio management (individuals)

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at BROOKS, WAYNE I →

Introduction

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Frequently Asked Questions

What services does Wayne Irving Brooks offer?

Wayne Irving Brooks specializes in Financial Planning, Investment Management. Contact their office in UTICA, New York for a consultation.

What are Wayne Irving Brooks's credentials?

Wayne Irving Brooks is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Wayne Irving Brooks located?

Wayne Irving Brooks is based in UTICA, New York, working with BROOKS, WAYNE I. Their office serves clients in the UTICA metropolitan area and surrounding communities.

How does Wayne Irving Brooks charge for services?

Wayne Irving Brooks's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BROOKS, WAYNE I?

BROOKS, WAYNE I has approximately 2 employees and manages $41M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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