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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Theodore Leonard Brooks

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NC | North Haven, CT

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Search this name across graphsid dfx:ria:c0ad1abe-5488-0031-9ee3-154fef53e0af

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2003 to Sep 15, 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: IP FINANCIAL ADVISORY SERVICES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: May 10, 1996
First registration: Apr 16, 2003
Dual registered: yes, broker-dealer
Other names: TED BROOKS|THEODORE LEONARD BROOKS|T Brooks Jr
IAPD individual key: 2628214

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
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Feb 5, 2021	n/a	yes	North Haven, CT\|CHARLOTTE, NC	Current employment
SUPREME ALLIANCE LLC	Independent wealth	Jul 22, 2019	Feb 1, 2021	no	New Haven, CT\|CHARLOTTE, NC\|CHARLOTTE, NC\|North Haven, CT	Previous registration
LEGEND ADVISORY, LLC	Former SEC adviser	Aug 2, 2016	Mar 14, 2019	no	New Haven, CT\|PALM BEACH GARDENS, FL	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	May 16, 2012	Jul 18, 2016	no	FARMINGVILLE, NY\|NEW HAVEN, CT\|New Haven, CT	Previous registration
RETIREMENT PLAN ADVISORS, LLC	Mixed wealth	Nov 24, 2010	May 17, 2012	no	CHICAGO, IL	Previous registration
NATIONWIDE SECURITIES, LLC	No RAUM reported	Aug 1, 2008	Nov 6, 2008	no	NEW HAVEN, CT	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Jan 4, 2008	Aug 1, 2008	no	ROCKY HILL, CT\|NEW HAVEN, CT	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Mar 13, 2006	Aug 25, 2006	no	GUILFORD, CT	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Jan 12, 2005	Sep 19, 2005	no	NEW HAVEN, CT	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Apr 16, 2003	Dec 31, 2004	no	NEW HAVEN, CT	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
SUPREME ALLIANCE LLC	IP FINANCIAL ADVISORY SERVICES LLC	Feb 1, 2021	Feb 5, 2021	4	Firm change	RIA to RIA
LEGEND ADVISORY, LLC	SUPREME ALLIANCE LLC	Mar 14, 2019	Jul 22, 2019	130	Firm change	Ibd to RIA
PLANMEMBER SECURITIES CORPORATION	LEGEND ADVISORY, LLC	Jul 18, 2016	Aug 2, 2016	15	Firm change	Other
RETIREMENT PLAN ADVISORS, LLC	PLANMEMBER SECURITIES CORPORATION	May 17, 2012	May 16, 2012	-1	Firm change	Other
NATIONWIDE SECURITIES, LLC	RETIREMENT PLAN ADVISORS, LLC	Nov 6, 2008	Nov 24, 2010	748	Firm change after gap	Other
1717 CAPITAL MANAGEMENT COMPANY	NATIONWIDE SECURITIES, LLC	Aug 1, 2008	Aug 1, 2008	0	Bulk transfer	Other
INVESTORS CAPITAL ADVISORY	1717 CAPITAL MANAGEMENT COMPANY	Aug 25, 2006	Jan 4, 2008	497	Firm change after gap	Other
EASTERN POINT ADVISORS INC.	INVESTORS CAPITAL ADVISORY	Dec 31, 2004	Jan 12, 2005	12	Bulk transfer	Other

Relationships

Registered with (9)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Feb 5, 2021 to presentfactForm ADV
→ SUPREME ALLIANCE LLCRegistered adviserregistration: previous registration
Jul 22, 2019 to Feb 1, 2021factForm ADV
→ LEGEND ADVISORY, LLCRegistered adviserregistration: previous registration
Aug 2, 2016 to Mar 14, 2019factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 16, 2012 to Jul 18, 2016factForm ADV
→ RETIREMENT PLAN ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 24, 2010 to May 17, 2012factForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 1, 2008 to Nov 6, 2008factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Jan 4, 2008 to Aug 1, 2008factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Mar 13, 2006 to Aug 25, 2006factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Apr 16, 2003 to Dec 31, 2004factForm ADV

Dated events

No dated event names this entity yet.