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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Gregory T. Brooks

Advisor at J.P. MORGAN SECURITIES LLC

Columbus, OH | Farmington Hills, MI

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Search this name across graphsid dfx:ria:2be083e1-6167-c735-99cc-4735f3e0fae0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 5, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Dec 23, 2020
First registration: Feb 5, 2001
Dual registered: yes, broker-dealer
Other names: Greg Brooks|GREGORY THOMAS BROOKS
IAPD individual key: 1677862

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 10, 2021	n/a	yes	Columbus, OH\|Farmington Hills, MI	Current employment
PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.	n/a	Feb 29, 2016	Nov 20, 2020	no	Worthington, OH\|CASTLE ROCK, CO\|CASTLE ROCK, CO	Previous registration
ROYAL OAK FINANCIAL GROUP	Independent wealth	Jan 17, 2014	Feb 29, 2016	no	WORTHINGTON, OH	Previous registration
FORTITUDE ADVISORY GROUP L.L.C.	Independent wealth	Jun 2, 2010	Dec 16, 2013	no	GIG HARBOR, WA	Previous registration
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC	Former SEC adviser	Nov 7, 2005	May 21, 2010	no	POWELL, OH	Previous registration
CAPITAL CITY PARTNERS, LLC	n/a	Jun 28, 2005	Oct 10, 2005	no	COLUMBUS, OH	Previous registration
GUSTAFSON BAXTER FINANCIAL SERVICES INC	n/a	Feb 5, 2001	Jun 14, 2005	no	POWELL, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.	J.P. MORGAN SECURITIES LLC	Nov 20, 2020	Jan 10, 2021	51	Firm change	Other
ROYAL OAK FINANCIAL GROUP	PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.	Feb 29, 2016	Feb 29, 2016	0	Firm change	Other
FORTITUDE ADVISORY GROUP L.L.C.	ROYAL OAK FINANCIAL GROUP	Dec 16, 2013	Jan 17, 2014	32	Firm change	Other
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC	FORTITUDE ADVISORY GROUP L.L.C.	May 21, 2010	Jun 2, 2010	12	Firm change	Other
CAPITAL CITY PARTNERS, LLC	CAPITAL CITY ASSET MANAGEMENT GROUP, LLC	Oct 10, 2005	Nov 7, 2005	28	Firm change	Other
GUSTAFSON BAXTER FINANCIAL SERVICES INC	CAPITAL CITY PARTNERS, LLC	Jun 14, 2005	Jun 28, 2005	14	Firm change	Other

Relationships

Registered with (7)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Jan 10, 2021 to presentfactForm ADV
→ PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Feb 29, 2016 to Nov 20, 2020factForm ADV
→ ROYAL OAK FINANCIAL GROUPRegistered adviserregistration: previous registration
Jan 17, 2014 to Feb 29, 2016factForm ADV
→ FORTITUDE ADVISORY GROUP L.L.C.Registered adviserregistration: previous registration
Jun 2, 2010 to Dec 16, 2013factForm ADV
→ CAPITAL CITY ASSET MANAGEMENT GROUP, LLCRegistered adviserregistration: previous registration
Nov 7, 2005 to May 21, 2010factForm ADV
→ CAPITAL CITY PARTNERS, LLCRegistered adviserregistration: previous registration
Jun 28, 2005 to Oct 10, 2005factForm ADV
→ GUSTAFSON BAXTER FINANCIAL SERVICES INCRegistered adviserregistration: previous registration
Feb 5, 2001 to Jun 14, 2005factForm ADV

Dated events

No dated event names this entity yet.