Erik Brooks has been an investment adviser representative at Allegiance Financial Advisors since March 2022, and is not listed among the firm’s executive officers or direct owners. Erik Brooks studied BSBA in Insurance and Finance at the University of Florida.
Allegiance Financial Advisors, Inc. is a Jacksonville, FL firm with $182M under management, 338 clients and 6 advisers in one office, as of its February 2026 filing.
Erik Brooks joined Allegiance Financial Advisors, Inc. as an Investment Advisor in 2022. He became an insurance agent with John Hancock Financial Network and a Registered Representative of Signator Investors, Inc. in 1987, and in 2018 became affiliated with Osaic Wealth, Inc. as a Registered Representative.
Erik Brooks’ longest registration is the current one, 7 years at Osaic Wealth, Inc. since 2018.
- – present · 4 yearsJacksonville, FL · Adviser representative · Firm CRD 127293
- Osaic Wealth, Inc.Also current– present · 7 yearsWilliston, FL · Adviser representative and broker · Firm CRD 23131
Investment adviser representative registrations
Erik Brooks is registered as an investment adviser representative in 2 states. The first approvals date from March 2022; the most recent is Georgia, in July 2023.
- FloridaSince 8 March 2022
- GeorgiaSince 24 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 March 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 April 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 March 1987 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Erik Baker Brooks
- CRD
- 1637561
- Firm
- Allegiance Financial Advisors · CRD 127293
- Office
- 3112 ST. JOHNS BLUFF ROAD SOUTH, Jacksonville, FL 32246-3712
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- allegianceadvisors.com
Where does Erik Brooks work?
Erik Brooks is an investment adviser representative registered through Allegiance Financial Advisors, Inc. since March 2022, and is not listed among the firm’s executive officers or direct owners.
Is Erik Brooks a financial advisor?
Yes. Erik Brooks has a current investment-adviser registration in Florida and Georgia, through Allegiance Financial Advisors since March 2022.
How many years of experience does Erik Brooks have?
Erik Brooks has 39 years in the financial industry, since March 1987, across 2 adviser firms.
What exams has Erik Brooks passed?
Erik Brooks has passed 3 licensing exams: the Series 6, Series 66 and Series 65. The earliest, the Series 6, was passed in March 1987. FINRA credited Erik Brooks with the SIE, which began in October 2018.
Where is Erik Brooks based?
Erik Brooks’ registered office is in Jacksonville, FL.
Is Erik Brooks registered with FINRA?
Yes. Erik Brooks has a current broker registration, under CRD 1637561.
Source: FINRA BrokerCheck
How can I verify Erik Brooks’ record?
Search CRD 1637561 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Erik Brooks’ full registration record.