Joseph M. Brooks

SAPERE WEALTH MANAGEMENT

Matthews, NC 28105

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CRD#: 2664035

Professional summary

Joseph M Brooks, CFP®, who also goes by Joseph Matthew Brooks, Joe Brooks, is a registered financial advisor currently at SAPERE WEALTH MANAGEMENT, LLC located in Matthews, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joseph has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Matthew Brooks | Joe Brooks

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 Joseph M Brooks'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^®

Certified Financial Planner

Start date: 2004

Experience

Current

May 1, 2024 - Present

SAPERE WEALTH MANAGEMENT, LLC

Office #1: 130 Matthews Station St. Suite 2a, Matthews, NC 28105

RIA

CRD#: 119598

Matthews, NC

Past

October 23, 2018 - October 31, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

CHARLOTTE, NC

Past

October 23, 2018 - October 31, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHARLOTTE, NC

Past

April 19, 2016 - October 8, 2018

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

CHARLOTTE, NC

Past

November 30, 2010 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

CHARLOTTE, NC

Past

November 30, 2010 - October 8, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHARLOTTE, NC

Past

December 16, 2008 - November 29, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

CHARLOTTE, NC

Past

December 16, 2008 - November 29, 2010

NRP FINANCIAL, INC.

CRD#: 103717

CHARLOTTE, NC

Past

April 1, 2005 - November 26, 2008

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

CHARLOTTE, NC

Past

April 1, 2005 - November 26, 2008

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHARLOTTE, NC

Past

July 21, 2003 - April 7, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

May 13, 2002 - June 2, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

CHARLOTTE, NC

Past

March 21, 2002 - June 2, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 21, 2002 - June 2, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

November 18, 1999 - March 27, 2002

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

October 18, 1995 - July 29, 1996

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

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".

SAPERE WEALTH MANAGEMENT, LLC

CRD#: 119598 / SEC#: 801-61056

RIA

Registered Investment Advisory firm - (4/5/2002 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

North Carolina
(5/1/2024)

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

IAR

Series 66

Date: 4/18/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2000

General Securities Principal Examination

Current Firm

SAPERE WEALTH MANAGEMENT, LLC

CRD#: 119598 / SEC#: 801-61056

RIA

Registered Investment Advisory firm - (4/5/2002 Approved)

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Contact information

Main Address

130 Matthews Station St. Suite 2a, Matthews, NC 28105

Mailing Address

Phone number

(704) 321-5244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAPERE WEALTH MANAGEMENT - PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 346,213,230

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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Advisor Monitoring

Firm Stability Insights

Joseph M. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CETERA WEALTH SERVICES, LLC

AMERICAN UNITED LIFE INSURANCE COMPANY

Primary Firm SEC Registration

SAPERE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2002

Series 63

Date: 1/20/2000

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1999

Series 6

Date: 10/17/1995

Series 24

Date: 12/13/2000

Current Firm

SAPERE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAPERE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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