Brandy C. Maben

WINDROCK WEALTH MANAGEMENT

TUCSON, AZ

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CRD#: 6932952

Professional summary

Brandy C Maben, who also goes by Brandy Michelle Collins, is a registered financial advisor currently at WINDROCK WEALTH MANAGEMENT located in Tucson, Arizona.

Brandy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Brandy has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brandy Michelle Collins

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.

ARIZONA SWIM CAMP, LLC CAMP DIRECTOR SUMMER YOUTH SWIM CAMP SINCE 06/2015 NOT INVESTMENT RELATED YOUNG TAX PROFESSIONALS MEMBER EDUCATION SINCE 11/2019 2 HRS PER MONTH NOT INVESTMENT RELATED SOUTHERN ARIZONA ESTATE PLANNING COUNCIL MEMBER SINCE 11/2019 3 HRS PER MONTH NOT INVESTMENT RELATED MECP2 DUPLICATION FOUNDATION COMMITTEE MEMBER NON PROFIT DISEASE FOUNDATION SINCE 09/2018 1 HOUR PER MONTH NOT INVESTMENT REALTED INSURANCE AGENT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandy C Maben'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

July 26, 2022 - Present

WINDROCK WEALTH MANAGEMENT

RIA

CRD#: 166124

TUCSON, AZ

Past

January 14, 2021 - July 22, 2022

LEVIN FUNDING GROUP LLC

RIA

CRD#: 170087

Tucson, AZ

Past

November 21, 2018 - March 19, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

Tucson, AZ

Past

September 26, 2018 - March 19, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

Tucson, AZ

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".

WINDROCK WEALTH MANAGEMENT

CRYPTOX ADVISORY | WINDROCK WEALTH MANAGEMENT LLC | WINDROCK WEALTH MANAGEMENT

CRD#: 166124 / SEC#: 801-106722

RIA

Registered Investment Advisory firm - (10/6/2015 Approved)

Arizona

Registered Investment Advisory firm - (10/6/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/6/2015 Terminated)

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

Arizona
(7/26/2022)

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: 11/20/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2018

General Securities Representative Examination

Current Firm

WINDROCK WEALTH MANAGEMENT

CRYPTOX ADVISORY | WINDROCK WEALTH MANAGEMENT LLC | WINDROCK WEALTH MANAGEMENT

CRD#: 166124 / SEC#: 801-106722

RIA

Registered Investment Advisory firm - (10/6/2015 Approved)

Arizona

Registered Investment Advisory firm - (10/6/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/6/2015 Terminated)

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Contact information

Main Address

225 West Jefferson Avenue, Suite 2, Naperville, IL 60540

Mailing Address

Phone number

(312) 650-9593

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINDROCK WEALTH MANAGEMENT LLC ADV PART 2A AND 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	539
AUM (Assets Under Management)	$ 290,562,560

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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Brandy C. Maben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandy C Maben's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVIN FUNDING GROUP LLC

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WINDROCK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2018

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2018

Current Firm

WINDROCK WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINDROCK WEALTH MANAGEMENT

TRUST BUT VERIFY

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