Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 66
Experience Industry experience
26 years
Location
Dubach, LA
LPL Financial
Institution
Brooks Harris is a financial advisor at LPL Financial with 26 years of industry experience. He holds a Series 66 designation and has previously worked at Fsc Securities Corp and Commonwealth Financial Network. Outside of his advisory role, he is involved in non-investment business ventures including ownership of Sunset Hills LLC and participation in Martin Company Holdings LLC. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a range of advisory programs, financial planning services, and retirement plan consulting, with both discretionary and non-discretionary management supported by research and model portfolios.
Based on LPL Financial
Flat fees negotiated between IAR and client for financial planning and consulting services.
Commissions and trail fees on brokerage product sales and for insurance products sold by IARs.
Hourly fees up to $500 per hour for financial planning and consulting services.
Fee-only: Negotiated flat or hourly fees ranging from $0 to $15,000 or up to $500 per hour for financial planning and consulting services.
Dubach, LA
Dubach LA
Advisors at this office
1
Louisiana · Texas
26 years of industry experience
LPL Financial
2019 - Present • 7 years
Alexandria, LA
Fsc Securities Corp
2017 - 2019 • 2 years
Atlanta, GA
Commonwealth Financial Network
2012 - 2017 • 5 years
San Diego, CA
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Series 63, Series 65
Ruston, LA
Pindex Advisors, LLC
Stephen Rodgers is a financial advisor at Pindex Advisors, LLC with 35 years of industry experience. He holds Series 63 and Series 65 credentials and has been with Pindex Advisors since 2006. He also serves as managing director and president of PenDex Advisors, LLC, where he is involved in all phases of the investment advisory business. PenDex Advisors provides investment advisory and brokerage services to individual and institutional clients, utilizing a combination of charting, fundamental and technical analysis, and market-timing techniques. The firm offers both discretionary portfolio management and commission-based brokerage programs that include short-term trading and option strategies.
Series 65
Ruston, LA
Oakwater Financial
Thomas Bates is a financial advisor with Oakwater Financial Advisors LLC in Ruston, Louisiana. He holds a Series 65 license and has three years of industry experience. Prior to his current role, he was a CPA and partner at Oakwater Financial Group LLC, a tax and accounting firm he co-owns with his father. He also provides contract CFO and management consulting services through Oakwater Financial LLC. Oakwater Financial Advisors LLC offers investment portfolio management, financial planning, and pension consulting to individuals, pension plans, and business entities. The firm employs a range of strategies including options and short-selling, and advises across various investment vehicles, combining pension consulting with alternative investments and insurance products.
Series 65
Ruston, LA
Argent Advisors, Inc.
Lucius Mc Gehee Jr. is a financial advisor at Argent Advisors, Inc. with nine years of industry experience and holds a Series 65 designation. He has a long tenure with affiliated entities, including Argent Trust Company since 1990, where he serves as Executive Vice President. Mc Gehee is also involved with several charitable foundations as a trustee and board member, and serves on the Industrial Development Board of Lincoln Parish, focusing on local economic development. Argent Advisors, Inc. manages approximately $1.7 billion for individuals, high-net-worth clients, trusts, estates, charitable organizations, and retirement plan sponsors. The firm offers portfolio management, financial planning, and municipal advisory services, employing a range of investment strategies including equity, fixed income, derivatives, and alternative products, supported by affiliated sub-advisors and custody operations.
CFP®
Ruston, LA
Argent Advisors, Inc.
Matthew Moore is a CFP® professional with five years of experience, currently serving at Argent Advisors, Inc. since 2021. His prior roles include work at Argent Financial Group and the Lincoln Parish School Board. Outside of his advisory work, he is president of the Ruston Chess Knights, a local chess club. Argent Advisors, Inc. manages approximately $1.7 billion on a discretionary basis for individuals, high-net-worth clients, trusts, estates, charitable organizations, and retirement plan sponsors. The firm offers portfolio management, financial planning, retirement plan consulting, and municipal advisory services, employing a range of investment strategies including active and passive allocation, derivatives, and direct indexing.
Series 63, Series 65, Series 66
Ruston, LA
Argent Advisors, Inc.
Michael Jones is a financial advisor with Argent Advisors, Inc. He holds Series 63, 65, and 66 licenses and has 42 years of industry experience. His career includes over 20 years with Argent Advisors and Argent Trust. Outside of advising, he is a partner in an LLC involved in oil and gas production and exploration. Argent Advisors, Inc. manages approximately $1.7 billion for individuals, high-net-worth clients, trusts, estates, charitable organizations, and retirement plan sponsors. The firm offers portfolio management, financial planning, retirement plan services, and municipal advisory consulting, using a range of investment strategies that include equities, fixed income, derivatives, and alternative products.
CFP®, Series 63
Ruston, LA
Argent Advisors, Inc.
Byron Moore is a CFP® with 21 years of industry experience, currently serving at Argent Advisors, Inc. He has worked with Argent Advisors and its affiliates since 2005, including roles at Argent Trust and Argent Insurance Services. Argent Advisors, Inc. manages approximately $1.7 billion on a discretionary basis for individuals, high-net-worth clients, trusts, estates, charitable organizations, and retirement plan sponsors. The firm offers portfolio management, financial planning, retirement plan services, and municipal advisory consulting, utilizing a range of investment strategies that combine active and passive approaches and include sub-advisory relationships and specialized products.
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