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Feed of 09/14/2026
Also filed as Curtis R Brooks
At current firm
9 y
since Sep 18, 2017
In the industry
17 y
since Mar 1, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Sep 18, 2017 · Ankeny, Ia
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedJul 8, 2016 to Oct 5, 2017 · West Desmoines, Ia
- C•••••••• F•••••••• G•••• A••••••• formerMay 9, 2013 to May 27, 2016 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- B•••••• L••• A••••••• S•••••••• I••• to E••••• J••••left Oct 5, 2017, registered Sep 18, 2017 (-17 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••left May 27, 2016, registered Jul 8, 2016 (42 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address