Craig
Brooks

Spc

CRD#5922807
Investment Advisor
in Littleton, CO

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About this Advisor

Craig Brooks is a financial advisor operating in Littleton, Colorado, who has been in the industry for 11 years. Brooks currently works for Spc. Their career trajectory has included roles at Country Financial, Guardian Life Ins, Park Avenue Securities and Spc. Brooks maintains Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to work in Colorado, Georgia, Iowa, Kansas, Missouri, Nebraska, Nevada, New Jersey, Oklahoma, Texas and Utah. Spc is a registered investment business that has its headquarters in Littleton, Colorado. The firm has offices in 453 locations and a total of 628 people on staff. It controls $7 billion in assets across its 36,841 accounts, making it one of the largest financial advisory firms in the country by assets under management. The firm provides services to 22 charities and foundations. Of its 36,841 customer accounts, just 6% belong to high-net-worth individuals who have more than $1 million in assets available to invest. The firm has a diverse set of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial management fees are based on which services the firm provides the client. However, fees billed by Spc may include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Disclosures

No

Office Location

Littleton, CO

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Spc Brokerage Details

Total Assets Under Management

$6,859,365,285

CO Average: $943,424,332
Total Number of Employees

628

CO Average: 21
Total Number of Accounts

36,841

CO Average: 1,586
Average Account Size

$186,188

CO Average: $594,845

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Craig Brooks Work History

Craig has 11 years of experience.

2019 - Present (3 years)

Spc

2015 - 2019 (4 years)

Guardian Life Ins

2015 - 2019 (4 years)

Park Avenue Securities

2011 - 2015 (4 years)

Country Financial

Disclosures

Craig Brooks has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Spc

Steven Kao
Austin, TX
Rodney Clark
Ann Arbor, MI
Brett Blair
Wylie, TX
Clinton Potts
Ann Arbor, MI
Zachary Clark
Tecumseh, MI
John O'Donnell
Lisle, IL
Johnny Morrison
Ann Arbor, MI
Sean Gray
Colorado Springs, CO

The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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