Daena B. Ramiah

BROOK CAPITAL

Brookfield, WI 53045

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CRD#: 4814072

Professional summary

Daena Beth Ramiah is a registered financial advisor currently at BROOK CAPITAL located in Brookfield, Wisconsin.

Daena is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Daena has worked at 3 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 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) Brook Capital; Investment-Related; 675 N. Barker Rd., Ste. 200, Brookfield, WI 53045; Registered Investment Advisor (RIA); Investment Adviser Representative 2) Trillium Ventures LLC; Investment-Related; Real Estate Holding Company; Co-Owner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daena Beth Ramiah'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

February 10, 2018 - Present

BROOK CAPITAL

Office #1: 675 N.barker Road, Suite #200, Brookfield, WI 53045

RIA

CRD#: 130919

Brookfield, WI

Past

June 14, 2018 - May 2, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Brookfield, WI

Past

July 10, 2017 - June 25, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BROOKFIELD, WI

Past

August 22, 2005 - May 9, 2006

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, 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".

BROOK CAPITAL

BROOK CAPITAL | RAMIAH INVESTMENT GROUP, INC. | RAMIAH INVESTMENT GROUP

CRD#: 130919 / SEC#: 801-67415

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Louisiana

Registered Investment Advisory firm - (1/4/2007 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/4/2007 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

California
(2/10/2018)

IAR

Wisconsin
(2/10/2018)

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: 3/2/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/12/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/18/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/30/2017

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/23/2017

General Securities Sales Supervisor - General Module Examination

Current Firm

BROOK CAPITAL

BROOK CAPITAL | RAMIAH INVESTMENT GROUP, INC. | RAMIAH INVESTMENT GROUP

CRD#: 130919 / SEC#: 801-67415

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Louisiana

Registered Investment Advisory firm - (1/4/2007 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/4/2007 Terminated)

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Contact information

Main Address

675 N.barker Road, Suite #200, Brookfield, WI 53045

Mailing Address

Phone number

(262) 784-7205

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

BROOKCAPITAL ADV PT.II 2025(MARCH) (5/1/2025)

Regulatory assets under management

Total Number of Accounts	1,419
AUM (Assets Under Management)	$ 256,436,755

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

Daena B. Ramiah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daena Beth Ramiah's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

BROOK CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2020

Series 66

Date: 8/12/2017

Series 63

Date: 8/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2017

Series 9

Date: 9/30/2017

Series 10

Date: 9/23/2017

Current Firm

BROOK CAPITAL

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOK CAPITAL

TRUST BUT VERIFY

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