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AR

Angelica Roxas

BROOKWOOD INVESTMENT GROUP
Torrance, CA
Some features on this profile are disabled
CRD#: 3269295
AR

Professional summary

Angelica Roxas, who also goes by Angelica C Jones, Angelica Carreon Jones, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Torrance, California.

Angelica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Angelica has worked at 18 firms and has passed the Series 66, Series 63, Series 7, Series 11 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Angelica C Jones | Angelica Carreon Jones

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 NAME OF THE OTHER BUSINESS: STRATEGIC ASSET PRESERVATION, INC. INVESTMENT RELATED?: YES ADDRESS OF OTHER BUSINESS: 3655 Torrance Blvd. 3rd Flood Torrance, CA 90503 NATURE OF OTHER BUSINESS: INDEPENDENT ADVISOR / INSURANCE SALES YOUR POSITION: OWNER START DATE: 2002 HOW MANY HOURS YOU DEVOTE TO THE OTHER BUSINESS PER MONTH: 100 HOW MANY HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 100 BRIEFLY DESCRIBE YOUR DUTIES: INSURANCE AND ANNUITY SALES South bay Tax Solutions 3655 Tottance Blvd. 3rd Floor Torrance, CA 90503 Owner no involvement with tax preparation or tax advice Devotes apx 10 hours a month both during and after trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angelica Roxas'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

May 30, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
Torrance, CA
Past

January 20, 2023 - April 22, 2025

SECURE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 141195
Torrance, CA
Past

January 5, 2021 - January 20, 2023

OPTIVISE ADVISORY SERVICES LLC

RIA
CRD#: 301764
Torrance, CA
Past

July 18, 2019 - December 31, 2020

OPTIVISE ADVISORY SERVICES LLC

RIA
CRD#: 301764
Torrance, CA
Past

January 24, 2019 - July 18, 2019

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA
CRD#: 175083
TORRANCE, CA
Past

June 6, 2018 - January 4, 2019

KUHN CAPITAL PARTNERS

RIA
CRD#: 283028
TORRANCE, CA
Past

March 17, 2016 - January 3, 2017

VIRTUE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 167816
Glendale, CA
Past

May 4, 2015 - October 2, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
ROLLING HILLS ESTATES, CA
Past

August 10, 2012 - June 28, 2013

HIGH STREET SECURITIES, INC.

BD
CRD#: 104201
HOT SPRINGS, AR
Past

December 24, 2009 - June 15, 2010

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
TORRANCE, CA
Past

November 30, 2009 - April 5, 2010

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
WHEATON, IL
Past

July 3, 2008 - August 19, 2008

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
TORRANCE, CA
Past

March 10, 2008 - June 17, 2008

FINANCIAL LEADERSHIP ADVISORS, INC.

RIA
CRD#: 139864
TORRANCE, CA
Past

September 20, 2007 - February 6, 2008

WEALTH PRESERVATION ADVISORY SERVICES, LLC

RIA
CRD#: 144402
TORRANCE, CA
Past

January 16, 2007 - July 11, 2007

USA FINANCIAL SECURITIES LLC

RIA
CRD#: 103857
TORRANCE, CA
Past

November 3, 2006 - July 11, 2007

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
TORRANCE, CA
Past

July 19, 2004 - October 24, 2006

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

July 16, 2004 - October 24, 2006

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
TORRANCE, CA
Past

December 18, 2002 - June 11, 2003

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

June 24, 2002 - November 14, 2002

WADDELL & REED

RIA
CRD#: 866
TORRANCE, CA
Past

June 24, 2002 - November 14, 2002

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

April 2, 2002 - June 7, 2002

JONES FINANCIAL GROUP, INC.

RIA
CRD#: 47611
HAWTHORNE, CA
Past

August 29, 2000 - June 7, 2002

JONES FINANCIAL GROUP, INC.

BD
CRD#: 47611
PARAMOUNT, CA

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
(5/30/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/15/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 8/28/2000
Assistant Representative-Order Processing Qualification Exam
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2001
General Securities Principal 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#: 316544Torrance, CA

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