CB
CFP
CB
CFP
Clay Brooks
18 Years of Experience
Indianapolis, IN
2 DisclosuresBrokerSells Insurance
Clay Brooks is a CFP-designated registered investment advisor, based in Indianapolis, IN, with 18 years of industry experience.
Location
9101 Wesleyan Rd, Ste 420, Indianapolis, IN, 46268
Get directionsHistory
Regulatory History (2)
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Employment Separation After Allegations
February 2017Criminal
February 2010Final Disposition
Other Business ActivitiesSells Insurance
Clay is the president and 100% owner of Abound Wealth Strategies, LLC, doing business as an investment business, dedicating about 15 hours per week. Clay is also a licensed life insurance agent for Flat Insurance and a paid tax preparer for clients.
Employment History
Current Registrations
Peak Brokerage Services, LLC
November 2025 - Present · 6 mos
Peak Brokerage Services, LLCBroker
November 2025 - Present · 6 mos
Abound Wealth Strategies
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Great Point Capital LLCBroker
September 2023 - June 2025 · 1 yr 9 mos
International Assets Advisory, LLCBroker
March 2017 - February 2020 · 2 yrs 11 mos
International Assets Investment Management, LLC
March 2017 - February 2020 · 2 yrs 11 mos
J.P. Morgan Securities LLCBroker
October 2012 - March 2017 · 4 yrs 5 mos
J.P. Morgan Securities LLC
October 2012 - March 2017 · 4 yrs 5 mos
Chase Investment Services CORP.Broker
August 2010 - October 2012 · 2 yrs 2 mos
Chase Investment Services CORP.
July 2010 - October 2012 · 2 yrs 3 mos
MML Investors Services, INC.
September 2007 - October 2009 · 2 yrs 1 mo
MML Investors Services, INC.Broker
June 2007 - October 2009 · 2 yrs 4 mos
State Registrations1 state
IN
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.