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JJ

Joseph A. Jennings

BROCKENBROUGH
RICHMOND, VA 23226-2050
Some features on this profile are disabled
CRD#: 1893309
JJ

Professional summary

Joseph Ashby Jennings III, CFA is a registered financial advisor currently at BROCKENBROUGH located in Richmond, Virginia.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joseph has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Joseph Ashby Jennings III's CRS (Customer Relationship Summary).
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®
CFA

Chartered Financial Analyst

Experience

Current

March 21, 2011 - Present

BROCKENBROUGH

Office #1: 920 Libbie Ave. Suite 201, Richmond, VA 23226-2050
RIA
CRD#: 105142
RICHMOND, VA

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".
BR
BROCKENBROUGH
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C

CRD#: 105142 / SEC#: 801-6691

RIA
Registered Investment Advisory firm - (7/1/1970 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
Virginia
(3/21/2011)

Exams

Current Firm

BR
BROCKENBROUGH
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C

CRD#: 105142 / SEC#: 801-6691

RIA
Registered Investment Advisory firm - (7/1/1970 Approved)
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Contact information

Main Address
920 Libbie Ave. Suite 201, Richmond, VA 23226-2050
Mailing Address
Phone number
(804) 288-0404
Established
Firm type
Fiscal year end
# of Employees
32

SEC notice filing (16 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

BROCKENBROUGH ADV PART 2A 6-30-2025_FINAL (6/25/2025)

Regulatory assets under management

Total Number of Accounts1,162
AUM (Assets Under Management)$ 5,442,429,889

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/24/2025
Cover Page
Report
11/12/2024
Cover Page
Report
10/26/2023
Cover Page
Report
11/28/2022
Cover Page
Report

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

BROCKENBROUGH

CRD#: 105142Richmond, VA 23226-2050

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