RA
Rostam K. Atefi
BROOKWOOD INVESTMENT GROUP
LONG BEACH, CA
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CRD#: 5774433
RA
Professional summary
Rostam Kevon Atefi is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Long Beach, California.
Rostam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Rostam has worked at 3 firms and has passed the Series 66, SIE 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.
1) BROOKWOOD INSURANCE GROUP LLC; INDEPENDENT LICENSED INSURANCE PRODUCER; INVESTMENT RELATED; 3930 E. RAY ROAD, SUITE 155, PHOENIX AZ 85044; FIXED INSURANCE SALES; SINCE 01/2022; HOURS PER MONTH 5; HOURS DURING TRADING HOURS: 0 2) SHIPPING SALES; NON-INVESTMENT RELATED; 337 ARGONNE AVENUE, LONG BEACH, CA 90814; PROVIDING SHIPPING SERVICES TO BUSINESSES; SINCE 04/2020; HOURS PER MONTH; HOURS DURING TRADING: 2
CRS (Client Relationship Summary) - RIA
Click below to view Rostam Kevon Atefi's 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®
NoneExperience
Current
May 5, 2023 - Present
BROOKWOOD INVESTMENT GROUP
RIA
CRD#: 316544
LONG BEACH, CA
Past
June 19, 2019 - June 30, 2023
BELPOINTE ASSET MANAGEMENT LLC
RIA
CRD#: 143440
Newport Beach, CA
Past
January 3, 2012 - June 20, 2019
OSAIC FA, INC.
RIA
CRD#: 3978
IRVINE, CA
Past
December 6, 2011 - June 20, 2019
OSAIC FA, INC.
BD
CRD#: 3978
IRVINE, 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
California(5/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 6,200 |
| AUM (Assets Under Management) | $ 1,064,198,265 |
Red Flags
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