Brooke W. Weise

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CRD#: 7122549

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brooke Whiteley Weise, CFP®, who also goes by Brooke W Weise, Brooke Weise, Brooke Martin Whiteley, Brooke Whiteley, Brooke Whiteley Weise, was a registered financial professional .

Brooke is a previously registered financial professional and started their career in finance in 2019. Brooke had worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.

Weise Financial Wellness, LLC; investment related; Middlebury, CT; Founder; inception date 04/2024. 0 hours each month. Entity is in existence, but Ms. Weise does not do any work for that entity currently.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

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

CRD#: 6413

FORT MILL, SC

Past

November 2, 2021 - October 16, 2023

AVANTAX INVESTMENT SERVICES, INC.

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

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".

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

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

Series 99TO

Date: 10/26/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 11/1/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/10/2021

Securities Industry Essentials Examination

Current Firm

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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Contact information

Main Address

228 Park Ave S Pmb 94934, New York, NY 10003

Mailing Address

228 Park Ave S Pmb 94934, New York, NY 10003-1502

Phone number

(844) 355-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLEVEST WRAP FEE PROGRAM BROCHURE (3/31/2025)

ELLEVEST INVESTMENT ADVISORY BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 1,012,582,923

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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Advisor Monitoring

Firm Stability Insights

Brooke W. Weise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

HAVILAND & SAMS, LLC

Primary Firm SEC Registration

ELLEVEST

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/2021

Series 65

Date: 7/6/2019

Series 99TO

Date: 10/26/2023

Series 7TO

Date: 11/1/2021

SIE

Date: 7/10/2021

Current Firm

ELLEVEST

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLEVEST

TRUST BUT VERIFY

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