Joseph E. Ward

BROOKWOOD INVESTMENT GROUP

ST PETERSBURG, FL

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CRD#: 3066458

Professional summary

Joseph Edward Ward, CFP® is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in St Petersburg, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joseph has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 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). SUNCOAST INSURANCE SOLUTIONS; INVESTMENT RELATED; 319 5TH STREET NORTH ST PETERSBURG, FL 33701; DBA FOR MEDICARE PRODUCTS; OWNER & AGENT SINCE 7/2015; 20 HOURS PER MONTH. 2). OCEAN ONE INSURANCE AGENCY, LLC: INVESTMENT RELATED; 3535 N MILITARY TRAIL SUITE 101, JUPITER FL 33458; PROPERTY CASUALTY INSURANCE; GENERAL AGENT SINCE 07/2022; HOURS PER MONTH; 16; HOURS DURING TRADING: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Edward Ward'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#: 139627

St. Petersburg, FL

Past

May 26, 2011 - June 23, 2015

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

ST PETERSBURG, FL

Past

May 18, 2010 - June 23, 2015

QUESTAR CAPITAL CORPORATION

CRD#: 43100

St. Petersburg, FL

Past

August 28, 1998 - March 12, 2001

FAS WEALTH MANAGEMENT SERVICES, INC.

CRD#: 10164

SARASOTA, FL

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

Florida
(7/27/2023)

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: 4/19/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1998

Investment Company Products/Variable Contracts Representative 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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Joseph E. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Edward Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

REDWOOD PRIVATE WEALTH

BELPOINTE ASSET MANAGEMENT LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

FAS WEALTH MANAGEMENT SERVICES, INC.

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2011

SIE

Date: 5/29/2018

Series 7

Date: 5/17/2010

Series 6

Date: 8/27/1998

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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