Carol J. Pipitone

BROOKWOOD INVESTMENT GROUP

RANCHO MIRAGE, CA

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CRD#: 4257883

Professional summary

Carol Jeanette Pipitone is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Rancho Mirage, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Carol has worked at 11 firms and has passed the Series 66, SIE 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.

1) BELPOINTE ASSET MANAGEMENT, INVESTMENT RELATED, LOCATED AT 500 DAMONTE RANCH PARKWAY, BUILDING 700, UNIT 700, RENO NV 89521; ADVISORY SERVICES; INVESTMENT ADVISOR REPRESENTATIVE, SINCE 4/2016, APPROX 80 HOURS PER MONTH; HOURS DURING TRADING: 50 2) BROOKWOOD INSURANCE GROUP LLC; INVESTMENT RELATED; 3930 E. RAY ROAD, SUITE 155, PHOENIX AZ 85044; FIXED INSURANCE PRODUCTS; LICENSED INSURANCE PRODUCER; SINCE 01/2022; HOURS PER MONTH: 10; HOURS DURING TRADING: 5 3) AMBASSADOR FOR SHELTERBOX USA, NON-INVESTMENT RELATED, NON PROFIT, WORLDWIDE DISASTER RELIEF ORGANIZATION, SINCE 2011 APPROX 4 HOURS PER MONTH 4) DESERT WINDS FREEDOM BAND, NON-INVESTMENT RELATED, PO BOX 4732, PALM SPRINGS CA 92263 DIRECTOR OF BOARD, NON PROFIT ORCHESTRA SINCE 12/2016. APPROX ONE HOUR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Jeanette Pipitone'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 5, 2023 - Present

BROOKWOOD INVESTMENT GROUP

RIA

CRD#: 316544

RANCHO MIRAGE, CA

Past

April 19, 2016 - June 30, 2023

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 7691

RANCHO MIRAGE, 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".

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
(5/5/2023)

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: 7/28/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2000

General Securities 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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Firm Stability Insights

Carol J. Pipitone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Jeanette Pipitone's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

TCFG INVESTMENT ADVISORS, LLC

TCFG WEALTH MANAGEMENT, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2004

SIE

Date: 3/9/2016

Series 7

Date: 9/6/2000

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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