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Wayne Irving Brooks

BROOKS, WAYNE I·UTICA, New York
Clean recordBROOKS, 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
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

Wayne Irving Brooks is a registered financial advisor based in UTICA, New York, affiliated with BROOKS, WAYNE I. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
Nonprofits & Foundations
Introduction

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03

Firm Overview

Firm
BROOKS, WAYNE I
ONE HOPPER ASSET MANAGEMENT
AUM
$41M
Regulatory assets under management
Employees
2
Total firm employees
View all advisors at BROOKS, WAYNE I →
Services
Financial planning
Portfolio management (individuals)
Charitable organization or education services
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Background

Compensation
Percentage of AUM
Hourly charges
Regulatory
SEC/IARD CRD# 2142197
Firm CRD# 168816
View on FINRA BrokerCheck →

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05

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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