Brooks J. Call

LAKEWOOD ASSET MANAGEMENT

Omaha, NE 68114-3317

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CRD#: 2735054

Professional summary

Brooks Jason Call is a registered financial advisor currently at LAKEWOOD ASSET MANAGEMENT, LLC located in Omaha, Nebraska.

Brooks is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brooks has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Jason Call'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

November 17, 2015 - Present

LAKEWOOD ASSET MANAGEMENT, LLC

Office #1: 9140 West Dodge Road Suite 409, Omaha, NE 68114-3317

RIA

CRD#: 174887

Omaha, NE

Past

November 4, 2005 - November 30, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

OMAHA, NE

Past

November 4, 2005 - November 30, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WAYZATA, MN

Past

July 22, 2004 - November 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MINNEAPOLIS, MN

Past

December 3, 2001 - November 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 5, 2000 - December 6, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

LAKEWOOD ASSET MANAGEMENT, LLC

LAKEWOOD ASSET MANAGEMENT | LAKEWOOD ASSET MANAGEMENT, LLC

CRD#: 174887 / SEC#: 801-113632

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/19/2018 Terminated)

Nebraska

Registered Investment Advisory firm - (12/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(11/10/2022)

IAR

Louisiana
(11/9/2022)

IAR

Nebraska
(11/30/2015)

IAR

Texas
(4/8/2025)

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

IAR

Series 65

Date: 3/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/11/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/4/2000

General Securities Representative Examination

Current Firm

LAKEWOOD ASSET MANAGEMENT, LLC

LAKEWOOD ASSET MANAGEMENT | LAKEWOOD ASSET MANAGEMENT, LLC

CRD#: 174887 / SEC#: 801-113632

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/19/2018 Terminated)

Nebraska

Registered Investment Advisory firm - (12/12/2018 Terminated)

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Contact information

Main Address

225 W Jefferson Avenue, Suite 102, Naperville, IL 60540

Mailing Address

Phone number

(312) 543-1772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 220,212,292

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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Brooks J. Call

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Jason Call's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LAKEWOOD ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2000

Series 63

Date: 2/3/2000

SIE

Date: 11/30/2015

Series 31

Date: 2/11/2000

Series 7

Date: 1/4/2000

Current Firm

LAKEWOOD ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKEWOOD ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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