Brooke Bowen

MTC WEALTH MANAGEMENT

Chicago, IL

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CRD#: 7123236

Professional summary

Brooke Bowen is a registered financial advisor currently at MTC WEALTH MANAGEMENT located in Chicago, Illinois.

Brooke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Brooke has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Bowen'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

February 6, 2025 - Present

MTC WEALTH MANAGEMENT

RIA

CRD#: 305308

Chicago, IL

Past

March 3, 2020 - January 24, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

November 14, 2019 - January 24, 2024

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

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".

MTC WEALTH MANAGEMENT

MTC WEALTH MANAGEMENT | MTC WEALTH MANAGEMENT LLC

CRD#: 305308 / SEC#: 801-117300

RIA

Registered Investment Advisory firm - (9/6/2019 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

Connecticut
(2/6/2025)

IAR

Illinois
(2/6/2025)

IAR

Indiana
(3/13/2025)

IAR

Maine
(3/7/2025)

IAR

Massachusetts
(5/7/2025)

IAR

Michigan
(2/10/2025)

IAR

New Hampshire
(2/7/2025)

IAR

New Jersey
(3/11/2025)

IAR

New York
(2/6/2025)

IAR

Ohio
(3/17/2025)

IAR

Rhode Island
(2/7/2025)

IAR

Vermont
(2/6/2025)

IAR

Wisconsin
(2/7/2025)

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: 3/2/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/14/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/1/2019

Securities Industry Essentials Examination

Current Firm

MTC WEALTH MANAGEMENT

MTC WEALTH MANAGEMENT | MTC WEALTH MANAGEMENT LLC

CRD#: 305308 / SEC#: 801-117300

RIA

Registered Investment Advisory firm - (9/6/2019 Approved)

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Contact information

Main Address

14055 Riveredge Dr. Suite 525, Tampa, FL 33637

Mailing Address

Phone number

(888) 727-9191

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MTC WEALTH MANAGEMENT LLC CLIENT BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 207,695,797

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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Brooke Bowen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Bowen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MTC WEALTH MANAGEMENT

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

MTC WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2020

Series 7TO

Date: 11/14/2019

SIE

Date: 8/1/2019

Current Firm

MTC WEALTH MANAGEMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MTC WEALTH MANAGEMENT

TRUST BUT VERIFY

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