Wilfred J. Brockman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Estero, FL
CRD#: 2234536
Professional summary
Wilfred Joseph Brockman JR, CFP®, who also goes by Joe Brockman Jr, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Estero, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Estero, Florida.
Wilfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Wilfred has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Joe Brockman Jr
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.INDEPENDENT INSURANCE AGENT, 2323 BUTTERFLY PALM DR, NAPLES, MI, 7/2013 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/MO - 1/TRADING. 2.BROCKMANWEALTH AND CAPITAL LLC, 2323 BUTTERFLY PALM DRIVE, NAPLES, FL, 1/2017 AS OWNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 2/WK - 1/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 25/WK - 20/TRADING.12/20/10, SEE EMPLOYMENT HISTORY FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Wilfred Joseph Brockman JR'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®
CFP®
Start date: 2007
Experience
Current
December 17, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 999 Vanderbilt Beach Road, Suite 200, Naples, FL 34108RIA
CRD#: 134139
Estero, FL
Current
December 20, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 999 Vanderbilt Beach Road, Suite 200, Naples, FL 34108BD
CRD#: 39543
Estero, FL
Past
October 12, 2010 - December 17, 2010
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
PLYMOUTH, MI
Past
October 12, 2010 - December 17, 2010
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
PLYMOUTH, MI
Past
March 13, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PLYMOUTH, MI
Past
March 13, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PLYMOUTH, MI
Past
November 19, 2002 - March 13, 2009
FERRIS, BAKER WATTS, LLC
RIA
CRD#: 285
PLYMOUTH, MI
Past
February 25, 2002 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
PLYMOUTH, MI
Past
January 1, 1999 - February 25, 2002
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
July 13, 1998 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
Past
December 2, 1997 - April 2, 1998
LEONARD & COMPANY
BD
CRD#: 36527
TROY, MI
Past
December 8, 1995 - October 21, 1997
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
June 10, 1992 - December 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/14/2025)
RR
California(12/20/2010)
RR
Florida(12/20/2010)
IAR
Florida(1/27/2017)
RR
Indiana(12/21/2010)
RR
Michigan(12/20/2010)
RR
Nevada(6/23/2015)
RR
South Carolina(6/4/2024)
RR
Virginia(12/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
