RR
Ramu Ramiah
BROOK CAPITAL
BROOKFIELD, WI 53045
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CRD#: 2284958
RR
Professional summary
Ramu Ramiah, who also goes by S P Ramiah, is a registered financial advisor currently at BROOK CAPITAL located in Brookfield, Wisconsin.
Ramu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Ramu has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
S P Ramiah
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) Brook Capital; Investment-Related; 675 N. Barker Rd., Ste. 200, Brookfield, WI 53045; RIA; President/Investment Adviser Representative; 05/2004 - Present 2) Ramiah Investments II LLC; Real Estate Holding; 04/2004 - Present; 2 hrs/mo; 0 hrs trading day 3) Brook Federal Advisors; Education/Teaching; Benefits Counselor; 02/2013 - Present; 4 hrs/mo 4) Watertown Office Condo Association; Non-Profit Organization; Trustee; 08/2015 - Present; 4 hrs/mo 5) Ramiah Family Foundation; Non-Profit Organization; Trustee; 1/2000 - Present; .5 hrs/mo 6) Enovate Inc.; Non Investment-Related; 24624 Interstate 45 N, Ste. 200; Spring, TX 77386; Oil & Gas Software; Investment; 01/2020 - Present; 5 hrs/mo
CRS (Client Relationship Summary) - RIA
Click below to view Ramu Ramiah'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®
NoneExperience
Current
June 25, 2004 - Present
BROOK CAPITAL
Office #1: 675 N. Barker Road, Brookfield, WI 53045RIA
CRD#: 130919
BROOKFIELD, WI
Past
August 15, 2018 - May 2, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Brookfield, WI
Past
April 25, 2007 - June 4, 2009
GREENBOOK INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 131563
BROOKFIELD, WI
Past
June 13, 2005 - August 15, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BROOKFIELD, WI
Past
April 30, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
July 1, 2003 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MILWAUKEE, WI
Past
July 1, 2003 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 18, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
MILWAUKEE, WI
Past
November 23, 1992 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
BC
BROOK CAPITAL
BROOK CAPITAL | RAMIAH INVESTMENT GROUP, INC. | RAMIAH INVESTMENT GROUP
CRD#: 130919 / SEC#: 801-67415
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Louisiana
Registered Investment Advisory firm - (1/4/2007 Terminated)Texas
Registered Investment Advisory firm - (1/4/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (1/4/2007 Terminated)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
Texas(6/25/2004)
IAR
Wisconsin(10/11/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BC
BROOK CAPITAL
BROOK CAPITAL | RAMIAH INVESTMENT GROUP, INC. | RAMIAH INVESTMENT GROUP
CRD#: 130919 / SEC#: 801-67415
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Louisiana
Registered Investment Advisory firm - (1/4/2007 Terminated)Texas
Registered Investment Advisory firm - (1/4/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (1/4/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
675 N.barker Road, Suite #200, Brookfield, WI 53045
Mailing Address
Phone number
(262) 784-7205
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,419 |
| AUM (Assets Under Management) | $ 256,436,755 |
Red Flags
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Company Information
BROOK CAPITAL
CRD#: 130919Brookfield, WI 53045TRUST BUT VERIFY
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Contact information
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