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JM

John K. Matthews

BROOKWOOD INVESTMENT GROUP
Cornelius, NC
Some features on this profile are disabled
CRD#: 5495147
JM

Professional summary

John Kenneth Matthews, who also goes by John K Matthews, John Matthews, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Cornelius, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. John has worked at 7 firms and has passed the Series 65, Series 63 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John K Matthews | John Matthews

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. Matthew's and Co Private Wealth Advisors LLC: Investment Related; 18612 Balmore Pines Lane, Cornelius NC 28031; Provides Outsource CFO Services & Insurance Sales; Title: Managing Member & CEO Start Date: 1/2019; Hours per month devoted to this business: 60; hours per month during trading hours: 60. 2. The Cut Barbershop; Non-Investment Related; 121 W. Trade Street, Suite 100, Charlotte NC 28202; Owner since 03/2010; Hours per week: 1, Hours per trading hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kenneth Matthews'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

June 15, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
Cornelius, NC
Past

November 17, 2021 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
Cornelius, NC
Past

April 27, 2021 - November 17, 2021

MATTHEWS INVESTMENT COMPANY, LLC

RIA
CRD#: 312640
CORNELIUS, NC
Past

January 22, 2020 - May 11, 2020

IRON RIVER CAPITAL LLC

RIA
CRD#: 173307
FARMINGTON, NM
Past

August 27, 2019 - January 2, 2020

HARVEST INVESTMENT SERVICES, LLC

RIA
CRD#: 159390
CORNELIUS, NC
Past

March 18, 2013 - August 23, 2019

ATP WEALTH LLC

RIA
CRD#: 166885
CORNELIUS, NC
Past

December 21, 2010 - November 29, 2012

OPTSECURITIES, LLC

BD
CRD#: 47529
CHARLOTTE, NC

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
North Carolina
(6/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/2011
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/2/2010
Financial and Operations 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#: 316544Cornelius, NC

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