Nikki Brooks
Nikki Brooks is a registered investment advisor at Prospera Financial Services, INC., based in Dallas, TX, with 21 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
5429 Lbj Freeway, Suite 750, Dallas, TX, 75240
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Nikki is the owner of TAG 22 Enterprises LLC, where she works as a coach/consultant providing psychology-informed coaching and consulting. She dedicates a few hours per week to this activity.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Cetera Investment Services LLCBroker
Cetera Financial Specialists LLCBroker
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Cetera Advisors LLCBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Kaiser and CompanyBroker
Berthel Fisher & Company Financial Services, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
Eagle One Investments, LLCBroker
Hsbc Securities (USA) INC.Broker
State Farm Vp Management CORP.Broker
Mwa Financial Services, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.