Joan B. Cox
TRUWEALTH ADVISORS
METAIRIE, LA 70002-6785
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CRD#: 1260363
Professional summary
Joan Brooks Cox, CFP®, who also goes by Joan Brooks, Joanie Brooks, is a registered financial advisor currently at TRUWEALTH ADVISORS, LLC located in Metairie, Louisiana.
Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joan has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
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.
Do you have an area of expertise or specialization?
Charitable Giving
Retirement Planning & Distribu...
Women's Financial Planning Iss...
Are you a "fiduciary"?
Yes
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.
1)Jewish Endowment Foundation; Not investment related; One Galleria Blvd, Ste 1040, Metairie, LA 70001; Charitable Organization; 3hrs/mo;1hr/qtr during trading hrs; Grants Committee Member, Women's Development Committee member; No compensation. /// 2)Sudden Money Institute/Financial Transitionist Institute; Investment Related; Organization teaches Financial Transition Planning; 10 Huntly Circle, Palm Beach Gardens, FL 33418; Faculty; Approx 30-40hrs/mo, 5 hours per week during trading hours.; Duties include instructing, developing continuing education materials, and project management; $2k/mo (initial)./// 3)Hidden Springs Homeowner's Association; Not investment related;236 Hidden Springs Lane, Covington, LA 70433;Neighborhood HOA; Secretary; record and distribute meeting notices, board meeting minutes, neighborhood roster; 02/01/2024; 0 during trading hrs; 4-hr/mo outside trading hrs; volunteer, secretarial duties./// 4)Jewish Community Center (JCC) Foundation; Investment related;5342 St. Charles Ave, NOLA 70115; Endowment for JCC; Committee member; review investment reports; 01/01/2025; 0 during trading hrs; 0.5-hrs/mo outside trading hrs; volunteer, committee member.
CRS (Client Relationship Summary) - RIA
Click below to view Joan Brooks Cox's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 3, 2023 - Present
TRUWEALTH ADVISORS, LLC
Office #1: 2700 Lake Villa Drive Suite 200, Metairie, LA 70002-6785RIA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(1/3/2023)
IAR
Texas(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TA
TRUWEALTH ADVISORS, LLC
KNIGHT ADVISORS, LLC | TRUWEALTH ADVISORS, LLC
CRD#: 306876 / SEC#: 801-119073
RIA
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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)
Regulatory assets under management
| Total Number of Accounts | 7,157 |
| AUM (Assets Under Management) | $ 2,535,697,292 |
Red Flags
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Company Information
TRUWEALTH ADVISORS, LLC
CRD#: 306876Metairie, LA 70002-6785TRUST BUT VERIFY
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Contact information
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