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JB

Joanne F. Brown

BROOKWOOD INVESTMENT GROUP
Forest City, IA
Some features on this profile are disabled
CRD#: 5693827
JB

Professional summary

Joanne Fay Brown, who also goes by Joanne Brown, Joanne Fay Uglem, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Forest City, Iowa.

Joanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Joanne has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joanne Brown | Joanne Fay Uglem

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.
Name of Business: Brown Financial Resources, LLC Investment Related?: No Current Business Address: 37558 110th Ave., Forest City, IA 50436 Nature of business: Insurance sales Your Title: President/Insurance agent Start Date:10/2008 Approx # of hours per month devoted to this business: 10 # of hours devoted during securities exchange hours: 10 Briefly describe your duties:insurance and annuity sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Fay Brown'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 14, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
Forest City, IA
Past

July 12, 2021 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
FOREST CITY, IA
Past

June 1, 2015 - July 16, 2021

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
Forest City, IA
Past

January 3, 2012 - December 31, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
FOREST CITY, IA
Past

January 3, 2012 - December 31, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
FOREST CITY, IA
Past

January 4, 2010 - December 31, 2011

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
MANKATO, MN
Past

August 31, 2009 - December 31, 2009

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, 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".
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
Iowa
(4/14/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/28/2009
Investment Company Products/Variable Contracts Representative 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#: 316544Forest City, IA

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