Robert Warren Brooks

CRD 4124275 · Wells Fargo Advisors · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Robert Warren Brooks IV; Robert Brooks; Robby Brooks IV; Robert W Brooks IV; Robert W Brooks

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (1): North Carolina
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4124275 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (13)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Strategic Advisers LLC
Greensboro, NC · IA capacity

Mar 31, 2025 → Dec 15, 2025
Fidelity Brokerage Services LLC
Covington, KY · BC capacity

Apr 1, 2022 → Dec 15, 2025
Fidelity Personal And Workplace Advisors
Greensboro, NC · IA capacity

Apr 25, 2022 → Mar 31, 2025
Mml Investors Services, LLC
Winston Salem, NC · IA capacity

Mar 25, 2017 → Feb 14, 2022
Mml Investors Services, LLC
Winston Salem, NC · BC capacity

Mar 25, 2017 → Feb 14, 2022
Msi Financial Services, Inc.
Winston-Salem, NC · IA capacity

Nov 22, 2011 → Mar 25, 2017
Msi Financial Services, Inc.
Winston-Salem, NC · BC capacity

Oct 24, 2011 → Mar 25, 2017
Ameriprise Financial Services, Inc.
High Point, NC · IA capacity

Feb 27, 2009 → Oct 26, 2011
Ameriprise Financial Services, Inc.
High Point, NC · BC capacity

Feb 27, 2009 → Oct 26, 2011
Banc Of America Investment Services, Inc.
Greensboro, NC · IA capacity

Jan 13, 2004 → Mar 5, 2009
Banc Of America Investment Services, Inc.
Greensboro, NC · BC capacity

Jan 31, 2001 → Mar 5, 2009

Source & corrections

Where this page comes from

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