Sophie G. Brooks-ames

MERIDIAN WEALTH ADVISORS

Austin, TX 78746

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CRD#: 6185685

Professional summary

Sophie G Brooks-ames, who also goes by Sophie G. Brooks-ames, Sophie Grace Brooks-ames, is a registered financial advisor currently at MERIDIAN WEALTH ADVISORS, LLC located in Austin, Texas.

Sophie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Sophie has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sophie G. Brooks-Ames | Sophie Grace Brooks-Ames

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 Sophie G Brooks-ames'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 13, 2019 - Present

MERIDIAN WEALTH ADVISORS, LLC

Office #1: 3600 North Capital Of Texas Highway Building B, Suite 150, Austin, TX 78746

RIA

CRD#: 282609

Austin, TX

Past

September 1, 2017 - May 21, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

August 18, 2017 - May 20, 2019

SAGE ADVISORY SERVICES LTD CO

RIA

CRD#: 106236

AUSTIN, TX

Past

October 11, 2013 - August 9, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODLAND HILLS, CA

Past

August 24, 2013 - August 9, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODLAND HILLS, 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".

MERIDIAN WEALTH ADVISORS, LLC

JLG GROUP, LLC | MERIDIAN WEALTH ADVISORS, LLC

CRD#: 282609 / SEC#: 801-107344

RIA

Registered Investment Advisory firm - (3/4/2016 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

Texas
(6/13/2019)

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: 10/8/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2013

General Securities Representative Examination

Current Firm

MERIDIAN WEALTH ADVISORS, LLC

JLG GROUP, LLC | MERIDIAN WEALTH ADVISORS, LLC

CRD#: 282609 / SEC#: 801-107344

RIA

Registered Investment Advisory firm - (3/4/2016 Approved)

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Contact information

Main Address

3600 North Capital Of Texas Highway Building B, Suite 150, Austin, TX 78746

Mailing Address

Phone number

(512) 717-5580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,440
AUM (Assets Under Management)	$ 1,450,816,126

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

Sophie G. Brooks-ames

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sophie G Brooks-ames's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

SAGE ADVISORY SERVICES LTD CO

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

MERIDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2013

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2013

Current Firm

MERIDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MERIDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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