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Joan Brooks Cox

Joan B. Cox

Some features on this profile are disabled
CRD#: 1260363
Joan Brooks Cox

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joan Brooks Cox, CFP®, who also goes by Joan Brooks, Joanie Brooks, was a registered financial professional .

Joan is a previously registered financial professional and started their career in finance in 1984. Joan had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

Core Areas of Focus

Charitable Giving
Retirement Planning & Distribution Rules
Women's Financial Planning Issues

Biography

Life has a way of “bumping your table” and scattering your puzzle pieces. That's when life is most challenging, and making financial decisions matters more than ever. This is also where I enjoy helping people. As the head of advanced planning at Transitus Wealth Partners, I help our clients with complex needs who are often experiencing dramatic life changes. I am part of a select number of advisors who earned the Certified Financial Transitionist® (CeFT®) designation. Have you noticed how sudden and irrevocable changes in life influence your thoughts and actions? For years, I’ve seen people struggle to make decisions when their lives were turned upside down. That’s what led me to the CeFT® program. CeFT® training helps me understand the impact of human transitions or life events. The curriculum uses science-based tools and protocols designed specifically to merge the human and technical sides of financial planning during significant life changes. I earned my B.A. from the University of Minnesota in 1976. In 1987, I received the CERTIFIED FINANCIAL PLANNER™ (CFP®) designation and in 2001 the Chartered Retirement Planning Counselor designation. I grew up in Louisiana and returned here many years ago. We live in the greater New Orleans area. I serve on the boards of a few non-profit organizations.

Question & Answer

What are your service offerings?
Working with people who have h...
mostly widows and retirement.
Are you a "fiduciary"?
No

Aliases

Joan Brooks | Joanie Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

January 3, 2023 - March 30, 2026

TRUWEALTH ADVISORS, LLC

RIA
CRD#: 306876
METAIRIE, LA
Past

January 7, 2021 - January 5, 2023

DOVETAIL FINANCIAL GROUP LLC

RIA
CRD#: 311298
Covington, LA
Past

October 26, 2012 - October 15, 2020

PERSONAL FINANCIAL ADVISORS, LLC

RIA
CRD#: 118477
COVINGTON, LA
Past

October 31, 2005 - September 19, 2012

OSAIC SERVICES, INC.

RIA
CRD#: 133763
MANDEVILLE, LA
Past

October 31, 2005 - September 19, 2012

OSAIC SERVICES, INC.

BD
CRD#: 133763
MANDEVILLE, LA
Past

July 7, 2003 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA
CRD#: 20068
MANDEVILLE, LA
Past

August 20, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

April 18, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

April 18, 1984 - August 30, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 18, 1984 - August 30, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRUWEALTH ADVISORS, LLC
KNIGHT ADVISORS, LLC | TRUWEALTH ADVISORS, LLC

CRD#: 306876 / SEC#: 801-119073

RIA
Registered Investment Advisory firm - (7/17/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 6/1/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/17/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TA
TRUWEALTH ADVISORS, LLC
KNIGHT ADVISORS, LLC | TRUWEALTH ADVISORS, LLC

CRD#: 306876 / SEC#: 801-119073

RIA
Registered Investment Advisory firm - (7/17/2020 Approved)
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Contact information

Main Address
2700 Lake Villa Drive Suite 200, Metairie, LA 70002-6785
Mailing Address
Phone number
(504) 779-7799
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR TRUWEALTH ADVISORS, LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts7,157
AUM (Assets Under Management)$ 2,535,697,292

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRUWEALTH ADVISORS, LLC

CRD#: 306876

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