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RIA / WealthAdvisor27 years in industry

DAVID ANDREW BROOKS

Advisor at SMART WEALTH, LLC

OMAHA, NE

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2007 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: SMART WEALTH, 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: Sep 10, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Sep 10, 1999
First registration: Aug 14, 2007
Dual registered: no
Other names: DAVID ANDREW BROOKS|DAVID ANDREW BROOKS|DAVID ANDREW BROOKS
IAPD individual key: 4000767

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
SMART WEALTH, LLC	Independent wealth	Jan 7, 2022	n/a	yes	OMAHA, NE	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Dec 4, 2017	Jan 14, 2022	no	OMAHA, NE\|OMAHA, NE\|Omaha, NE	Previous registration
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	May 9, 2017	Nov 9, 2017	no	Omaha, NE\|Omaha, NE	Previous registration
BROADPOINT FINANCIAL, LLC	n/a	Jul 24, 2014	Jul 20, 2017	no	VERO BEACH, FL	Previous registration
CG ADVISORY SERVICES	Independent wealth	Jun 28, 2012	Nov 12, 2014	no	WILLIAMSTON, MI	Previous registration
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	Apr 12, 2012	Jun 13, 2012	no	ROCKLEDGE, FL\|TAMPA, FL	Previous registration
BROKERSXPRESS LLC	Former SEC adviser	Oct 20, 2010	Jan 27, 2012	no	BOCA RATON, FL\|ROCKLEDGE, FL\|ROCKLEDGE, FL\|ROCKLEDGE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Oct 19, 2010	no	MELBOURNE, FL	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Aug 7, 2009	Oct 5, 2009	no	VIERA, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 7, 2008	Aug 18, 2009	no	MELBOURNE, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Aug 14, 2007	Jan 29, 2008	no	MELBOURNE, FL	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
AE WEALTH MANAGEMENT, LLC	SMART WEALTH, LLC	Jan 14, 2022	Jan 7, 2022	-7	Firm change	Ibd to new firm
BROOKSTONE WEALTH ADVISORS, LLC	AE WEALTH MANAGEMENT, LLC	Nov 9, 2017	Dec 4, 2017	25	Firm change	RIA to RIA
BROADPOINT FINANCIAL, LLC	BROOKSTONE WEALTH ADVISORS, LLC	Jul 20, 2017	May 9, 2017	-72	Firm change after gap	Other
CG ADVISORY SERVICES	BROADPOINT FINANCIAL, LLC	Nov 12, 2014	Jul 24, 2014	-111	Firm change after gap	Other
J. W. COLE ADVISORS, INC.	CG ADVISORY SERVICES	Jun 13, 2012	Jun 28, 2012	15	Firm change	Other
BROKERSXPRESS LLC	J. W. COLE ADVISORS, INC.	Jan 27, 2012	Apr 12, 2012	76	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BROKERSXPRESS LLC	Oct 19, 2010	Oct 20, 2010	1	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	AMERIPRISE ADVISOR SERVICES, INC.	Aug 18, 2009	Aug 7, 2009	-11	Firm change	Other
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Jan 29, 2008	Feb 7, 2008	9	Firm change	Other

Relationships

Registered with (11)

→ SMART WEALTH, LLCRegistered adviserregistration: current employment
Jan 7, 2022 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 4, 2017 to Jan 14, 2022factForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
May 9, 2017 to Nov 9, 2017factForm ADV
→ BROADPOINT FINANCIAL, LLCRegistered adviserregistration: previous registration
Jul 24, 2014 to Jul 20, 2017factForm ADV
→ CG ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 28, 2012 to Nov 12, 2014factForm ADV
→ J. W. COLE ADVISORS, INC.Registered adviserregistration: previous registration
Apr 12, 2012 to Jun 13, 2012factForm ADV
→ BROKERSXPRESS LLCRegistered adviserregistration: previous registration
Oct 20, 2010 to Jan 27, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Oct 19, 2010factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Aug 7, 2009 to Oct 5, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 7, 2008 to Aug 18, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Aug 14, 2007 to Jan 29, 2008factForm ADV

Dated events

Occurred
Jan 14, 2022
Advisor changed firm
David Andrew Brooks left Ae Wealth Management, Llc for Smart Wealth, Llc (registered 2022-01-07)
Form ADVobserved 6 days ago