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Brooke Weise

WEISE FINANCIAL WELLNESS
MIDDLEBURY, CT
Some features on this profile are disabled
CRD#: 7122549
BW

Professional summary

Brooke Weise, CFP®, who also goes by Brooke W Weise, Brooke Weise, Brooke Martin Whiteley, Brooke Whiteley, Brooke Whiteley Weise, is a registered financial advisor currently at WEISE FINANCIAL WELLNESS located in Middlebury, Connecticut.

Brooke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Brooke has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brooke W Weise | Brooke Weise | Brooke Martin Whiteley | Brooke Whiteley | Brooke Whiteley Weise

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 Brooke Weise'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®
CFP®

Certified Financial Planner

Experience

Current

May 6, 2026 - Present

WEISE FINANCIAL WELLNESS

RIA
CRD#: 339866
MIDDLEBURY, CT
Past

August 16, 2024 - April 7, 2025

ELLEVEST

RIA
CRD#: 175476
Middlebury, CT
Past

October 26, 2023 - March 12, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
Middlebury, CT
Past

October 26, 2023 - March 12, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

November 2, 2021 - October 16, 2023

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
SOUTHBURY, CT
Past

October 16, 2020 - October 16, 2023

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Southbury, CT
Past

July 6, 2019 - August 5, 2020

HAVILAND & SAMS, LLC

RIA
CRD#: 127175
FARMINGTON, CT

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
Connecticut
(5/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/6/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/26/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2021
Securities Industry Essentials Examination

Current Firm

WF
WEISE FINANCIAL WELLNESS
WEISE FINANCIAL WELLNESS | WEISE FINANCIAL WELLNESS, LLC

CRD#: 339866 / SEC#:

Connecticut
Registered Investment Advisory firm - (5/6/2026 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Middlebury, CT
Mailing Address
Phone number
(203) 560-1566
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

WEISE FINANCIAL WELLNESS

CRD#: 339866Middlebury, CT

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