David Brooks has been Chief Executive Officer of Financial & Tax Architects since July 1999, is a control person of the firm and directly owns under 5% of it.
Financial & Tax Architects, LLC is a St. Louis, MO firm with $506M under management, 1,574 clients and 40 advisers across 22 offices, as of its June 2026 filing.
D. Scott Brooks is CEO of Financial & Tax Architects, based in St. Louis. He founded and was Chairman of Revolution Medical, an incentives-based health insurance contractor. He has served as an instructor in the University of Missouri's Learning in Retirement Program and as a guest lecturer in the University of Missouri's Finance Department.
- – present · 27 yearsSt. Louis, MO · Adviser representative · Firm CRD 119169
Investment adviser representative registrations
David Brooks is registered as an investment adviser representative in Missouri, since July 1999.
- MissouriSince 9 July 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 9 September 2003 |
| Series 65 | Uniform Investment Adviser Law Examination | 2 June 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 28 April 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 April 1989 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- David Scott Brooks
- CRD
- 1920936
- Firm
- Financial & Tax Architects · CRD 119169
- Role
- Chief Executive Officer
- Office
- 12412 POWERSCOURT DRIVE, SUITE 25, St. Louis, MO 63131
- Registration
- Investment adviser registration
- In the industry since
- January 1990
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fta-ria.com
Where does David Brooks work?
David Brooks has been Chief Executive Officer of Financial & Tax Architects, LLC since July 1999, and is a control person of the firm.
Is David Brooks a financial advisor?
Yes. David Brooks has a current investment-adviser registration in Missouri, through Financial & Tax Architects since July 1999.
How many years of experience does David Brooks have?
David Brooks has 36 years in the financial industry, since January 1990, across 1 adviser firm.
What exams has David Brooks passed?
David Brooks has passed 4 licensing exams: the Series 63, Series 6, Series 65 and Series 7. The earliest, the Series 63, was passed in April 1989.
Where is David Brooks based?
David Brooks’ registered office is in St. Louis, MO.
Is David Brooks registered with FINRA?
No. David Brooks has no current broker registration.
How can I verify David Brooks’ record?
Search CRD 1920936 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Brooks’ full registration record.
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel