Frank C. Stama

BROOKWOOD INVESTMENT GROUP

Amherst, NH

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CRD#: 4956271

Professional summary

Frank Charles Stama, who also goes by Frank Stama, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Amherst, New Hampshire.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Frank has worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Stama

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) MKT CONSULTING - NON-INVESTMENT RELATED; 9 THISTLE DRIVE, AMHERST, NH OWNER/SOLE-PROPRIETOR INVOLVED WITH BUSINESS MANAGEMENT CONSULTING INCLUDING PROFIT IMPROVEMENT, SUPPLY CHAIN, TECHNOLOGY INTEGRATION AND CLIENT DEVELOPMENT; APPROX 10 HOURS PER MONTH; HOURS DURING TRADING: 0 2) LICENSED INSURANCE AGENT; INVESTMENT RELATED; 264 SOUTH RIVER ROAD, SUITE 520 BEDFORD NH ; HEATLH, LIFE & FIXED INSURANCE SALES; SPENDS APPROXIMATELY 80 HOURS A MONTH. 3) REDWOOD TAX SPECIALIST; INVESTMENT RELATED; MANAGING DIRECTOR; SPENDS APPROXIMATELY 12 HOURS PER MONTH; REFERS CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Charles Stama'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

April 7, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA

CRD#: 316544

Amherst, NH

Past

August 25, 2022 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA

CRD#: 312942

AMHERST, NH

Past

November 18, 2021 - August 11, 2022

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

Bedford, NH

Past

November 13, 2018 - October 18, 2022

MKT INVESTMENTS, LLC

RIA

CRD#: 298252

BEDFORD, NH

Past

April 18, 2013 - April 24, 2019

NORTHEASTERN WEALTH MANAGEMENT, LLC

RIA

CRD#: 167101

BEDFORD, NH

Past

April 5, 2011 - April 24, 2013

SII INVESTMENTS, INC.

CRD#: 2225

BEDFORD, NH

Past

April 1, 2011 - April 24, 2013

SII INVESTMENTS, INC.

RIA

CRD#: 2225

BEDFORD, NH

Past

December 12, 2007 - April 13, 2011

WADDELL & REED

RIA

CRD#: 866

BEDFORD, NH

Past

December 12, 2007 - April 13, 2011

WADDELL & REED

CRD#: 866

BEDFORD, NH

Past

November 9, 2006 - December 4, 2007

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BEDFORD, NH

Past

October 11, 2006 - December 4, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

BEDFORD, NH

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

New Hampshire
(4/7/2025)

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 66

Date: 11/1/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/10/2006

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

Frank C. Stama

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Charles Stama's CRS (Customer Relationship Summary).

Certified licenses

Experience

REDWOOD PRIVATE WEALTH

COPPELL ADVISORY SOLUTIONS LLC

MKT INVESTMENTS, LLC

NORTHEASTERN WEALTH MANAGEMENT, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

WADDELL & REED

WADDELL & REED

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2006

Series 7

Date: 10/10/2006

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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