Joann M. North

BROOKWOOD INVESTMENT GROUP

Katy, TX

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CRD#: 2608347

Professional summary

Joann Marie North, CFP®, who also goes by Joann Knoll, Joann Underwood, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Katy, Texas.

Joann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joann has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joann Knoll | Joann Underwood

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 Joann Marie North'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®

CFP^®

CRD#: 13572

KATY, TX

Past

January 14, 2008 - October 8, 2015

SCH ADVISORS, LLC

RIA

CRD#: 146007

HOUSTON, TX

Past

September 18, 1996 - January 16, 2008

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

KATY, TX

Past

September 13, 1996 - January 16, 2008

ASSOCIATED SECURITIES CORP.

CRD#: 12969

HOUSTON, TX

Past

July 20, 1995 - July 17, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

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

Texas
(4/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/29/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/1997

General Securities Principal Examination

Current Firm

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

SEC notice filing (32 States and Territories)

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 Accounts	6,200
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.

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Joann M. North

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joann Marie North's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKWOOD INVESTMENT GROUP

REDWOOD PRIVATE WEALTH

HORTER INVESTMENT MANAGEMENT, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SCH ADVISORS, LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

LPL FINANCIAL LLC

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1995

Series 24

Date: 7/8/1997

Current Firm

BROOKWOOD INVESTMENT GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKWOOD INVESTMENT GROUP

TRUST BUT VERIFY

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