Brooks Randolph
Brooks Randolph is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Stockton, CA, with 4 years of industry experience. Brooks operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
5757 Pacific Ave Ste 248, Stockton, CA, 95207
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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 ActivitiesSells Insurance
Brooks works as a registered assistant for L&J Financial Inc., dedicating nearly full-time hours since June 2022. Brooks also sells fixed insurance products as an insurance agent and manages business expenses for Valley Financial Services, spending minimal time on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
State Registrations6 states
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