Investment Advisor
in Littleton, CO

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About this Advisor

Craig Brooks is a financial advisor who is based out of Littleton, Colorado. Currently a registered financial advisor at Spc, they have accrued 10 years of work experience. Brooks has Series 63 and Series 65 licenses, qualifying the advisor as both a securities agent and an investment advisor representative. Brooks can work with investors based out of California, Colorado, Georgia, Iowa, Kansas, Missouri, Nebraska, Nevada, New Jersey, Oklahoma, Texas and Utah. Their career trajectory has included roles at Country Financial, Black Diamond Enterprises, Guardian Life Ins, Park Avenue Securities and Spc. Spc is based out of Littleton, Colorado, and has 464 other offices across the United States. In total, Spc manages $5 billion in assets across 25,865 accounts and retains more than 705 people. The level of assets currently under the firm's management makes it one of the biggest financial advisory firms in the nation. The firm manages 25,860 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 9% of the firm's clients are high-net-worth individuals, meaning they have over $1 million in investable assets. Spc can provide 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. The firm may charge clients asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 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



Office Location

Littleton, CO

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Spc Brokerage Details

Total Assets Under Management


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


CO Average: 21
Total Number of Accounts


CO Average: 1,586
Average Account Size


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 10 years of experience.

2019 - Present (3 years)


2015 - 2019 (4 years)

Guardian Life Ins

2015 - 2019 (4 years)

Park Avenue Securities

2011 - 2015 (4 years)

Country Financial

2010 - 2011 (1 year)

Black Diamond Enterprises


Craig Brooks has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Spc

Mark Pauwels
Ann Arbor, MI
Craig Brooks
Littleton, CO
Janet Rzewnicki
Wilmington, DE
Caleb Thompson
Ann Arbor, MI
Gregory Genter
Allen Park, MI
James Pihaly
Rockford, IL
Matthew Stewart
Ann Arbor, MI
Stacy Talarico
Ann Arbor, MI

The content in this profile was updated on 08/06/2020, using data compiled from the SEC and FINRA.

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 use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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