John M. Brick

KRUSE ASSET MANAGEMENT

Chicago, IL 60661

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CRD#: 5103747

Professional summary

John Michael Brick is a registered financial advisor currently at KRUSE ASSET MANAGEMENT, LLC located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. John has worked at 3 firms and has passed the Series 63, SIE, Series 87 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Brick'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 25, 2021 - Present

KRUSE ASSET MANAGEMENT, LLC

Office #1: 216 S Jefferson Street Suite 302, Chicago, IL 60661

RIA

CRD#: 143204

Chicago, IL

Past

October 11, 2018 - February 16, 2021

ALTMAN ADVISORS

RIA

CRD#: 281778

CHICAGO, IL

Past

July 28, 2015 - September 15, 2016

STEPHENS

CRD#: 3496

CHICAGO, IL

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".

KRUSE ASSET MANAGEMENT, LLC

CRD#: 143204 / SEC#: 801-131004

RIA

Registered Investment Advisory firm - (4/8/2025 Approved)

Illinois

Registered Investment Advisory firm - (10/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/21/2012 Conditional Restricted)

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

Illinois
(2/25/2021)

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

Series 63

Date: 8/13/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/16/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 7/28/2015

General Securities Representative Examination

Current Firm

KRUSE ASSET MANAGEMENT, LLC

CRD#: 143204 / SEC#: 801-131004

RIA

Registered Investment Advisory firm - (4/8/2025 Approved)

Illinois

Registered Investment Advisory firm - (10/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/21/2012 Conditional Restricted)

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Contact information

Main Address

216 S Jefferson Street Suite 302, Chicago, IL 60661-5743

Mailing Address

Phone number

(312) 775-6000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAM SCHEDULE H (3/24/2025)

KRUSEJS SUPPLEMENTAL (3/24/2025)

KAM ADV PART II PLAIN LANGUAGE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	184
AUM (Assets Under Management)	$ 137,000,000

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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John M. Brick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Brick's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTMAN ADVISORS

STEPHENS

Primary Firm SEC Registration

KRUSE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/2015

SIE

Date: 9/15/2016

Series 87

Date: 12/16/2015

Series 7

Date: 7/28/2015

Current Firm

KRUSE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KRUSE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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