Warren A Brooks
Investment adviser representative at UBS Financial Services Inc.
11 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- UBS Financial Services Inc.Jul 2025 to now
- UberMar 2025 to Jul 2025
- Morgan StanleyMar 2024 to Feb 2025
- Wells Fargo Clearing Services, LLCApr 2023 to Oct 2023
- Wells Fargo Bank, NAOct 2022 to Mar 2024
- MechanicmeApr 2022 to Apr 2023
- University of WashingtonMar 2021 to Jul 2022
- University of HoustonAug 2018 to Dec 2020
- Houston Community CollegeJan 2017 to Jun 2018
- Lonestar Kingwood Community CollegeJan 2014 to Dec 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (NC).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7727884
- Firm CRD
- 8174