Unclaimed Profile

Carl Alan Brooks

CARROLL FINANCIAL ASSOCIATES INC·CHARLOTTE, North Carolina

SIE, Series 1, Series 7, Series 8, Series 63Clean record24 years registeredCARROLL FINANCIAL ASSOCIATES INC

4201 CONGRESS STREET, STE 210, CHARLOTTE, NC 28209CRD# 823488Firm CRD# 105427

Profile Verification

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

Identity

Carl Alan Brooks · CHARLOTTE, NC

Registration

CRD #823488 · CARROLL FINANCIAL ASSOCIATES INC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CARROLL FINANCIAL ASSOCIATES INC

CARROLL FINANCIAL ASSOCIATES INC

Dec 2001 – Aug 2018

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7

Series 8

Series 63

Registration record

First registered · December 31, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CARROLL FINANCIAL ASSOCIATES INC

CRD 105427 · SEC 801-15517

AUM

$4.1B

Regulatory assets under management

Employees

9,318 client accounts

Services offered by CARROLL FINANCIAL ASSOCIATES INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

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 CARROLL FINANCIAL ASSOCIATES INC →

Introduction

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Frequently Asked Questions

What services does Carl Alan Brooks offer?

Carl Alan Brooks specializes in Financial Planning, Investment Management, Wealth Management.

What are Carl Alan Brooks's credentials?

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

Where is Carl Alan Brooks located?

Carl Alan Brooks is based in CHARLOTTE, North Carolina, last registered with CARROLL FINANCIAL ASSOCIATES INC.

How does Carl Alan Brooks charge for services?

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

How large is CARROLL FINANCIAL ASSOCIATES INC?

CARROLL FINANCIAL ASSOCIATES INC has approximately 52 employees and manages $4.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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