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SR

Sergio Rivera Vazquez

BROOKWOOD INVESTMENT GROUP
San Jose, CA
Some features on this profile are disabled
CRD#: 2373172
SR

Professional summary

Sergio Rivera Vazquez, who also goes by Sergio Rivera Vazquez, Sergio Riveravazquez, Sergio Rivera Vazquez, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in San Jose, California.

Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Sergio has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sergio Rivera Vazquez | Sergio Riveravazquez | Sergio Rivera Vazquez

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 Sergio Rivera Vazquez'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®
None

Experience

Current

October 21, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
San Jose, CA
Past

April 26, 2024 - July 7, 2025

EDWARD JONES

RIA
CRD#: 250
SUNNYVALE, CA
Past

April 26, 2024 - July 7, 2025

EDWARD JONES

BD
CRD#: 250
SUNNYVALE, CA
Past

June 13, 2022 - March 21, 2024

MORGAN STANLEY

RIA
CRD#: 149777
San Francisco, CA
Past

May 16, 2022 - March 21, 2024

MORGAN STANLEY

BD
CRD#: 149777
San Francisco, CA
Past

November 25, 2014 - February 12, 2016

CP CAPITAL SECURITIES

BD
CRD#: 15029
MIAMI, FL
Past

February 21, 2013 - December 31, 2013

ALTERNA SECURITIES, INC.

BD
CRD#: 41139
HOUSTON, TX
Past

February 22, 1996 - October 20, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 30, 1993 - February 22, 1995

BANORTE SECURITIES INTERNATIONAL, LTD.

BD
CRD#: 30648
HOUSTON, TX

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
California
(10/21/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2022
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/29/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/16/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/20/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/15/2023
General Securities Sales Supervisor - General Module Examination

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)
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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)

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

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

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

BROOKWOOD INVESTMENT GROUP

CRD#: 316544San Jose, CA

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