AK
Adam L. Klein
BROOKWOOD INVESTMENT GROUP
Phoenix, AZ 85044
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CRD#: 2303072
AK
Professional summary
Adam Leslie Klein is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Phoenix, Arizona.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Adam has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
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.
1) MANHATTAN CITY GROUP, LLC; INVESTMENT RELATED, SAME ADDRESS AS BRANCH, REAL ESTATE RENTAL PROPERTY, LESS THAT ONE HOUR PER MONTH. 2) MANHATTAN CITY GROUP A, LLC; INVESTMENT RELATED, SAME ADDRESS AS BRANCH, REAL ESTATE RENTAL PROPERTY, LESS THAT ONE HOUR PER MONTH. 3) BEANTOWN, GROUP, LLC; INVESTMENT RELATED, SAME ADDRESS AS BRANCH, REAL ESTATE RENTAL PROPERTY, LESS THAT ONE HOUR PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Leslie Klein'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 19, 2023 - Present
BROOKWOOD INVESTMENT GROUP
Office #1: 3930 E. Ray Road Suite 155, Phoenix, AZ 85044RIA
CRD#: 316544
Phoenix, AZ
Past
December 16, 2016 - June 30, 2023
BELPOINTE ASSET MANAGEMENT LLC
RIA
CRD#: 143440
Phoenix, AZ
Past
December 21, 1993 - May 6, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
January 13, 1993 - September 3, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 13, 1993 - September 3, 1993
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".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP
CRD#: 316544 / SEC#: 801-122508
RIA
Registered Investment Advisory firm - (10/18/2021 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
Arizona(6/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP
CRD#: 316544 / SEC#: 801-122508
RIA
Registered Investment Advisory firm - (10/18/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,200 |
| AUM (Assets Under Management) | $ 1,064,198,265 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
