JB
Joseph R. Brooks
FAIRHAVEN FINANCIAL ADVISORY
East Lansing, MI 48823
Some features on this profile are disabled
CRD#: 712568
JB
Professional summary
Joseph R Brooks, who also goes by Joe Brooks, Joseph Ray Brooks, is a registered financial advisor currently at FAIRHAVEN FINANCIAL ADVISORY CORPORATION located in East Lansing, Michigan and INNOVATION PARTNERS LLC located in East Lansing, Michigan.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Joseph has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Brooks | Joseph Ray Brooks
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.
FAIRHAVEN FINANCIAL ADVISORY CORPORATION POSITION: Licensed insurance agent NATURE: licensed insurance agent for various insurance companies including life, health, disability, fixed interest annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1979 ADDRESS: 1400 Abbot Rd., Suite 330, East Lansing MI 48823, United States DESCRIPTION: licensed insurance agent for various insurance companies including life, health, disability, fixed interest annuities. BROOKS BROTHERS LLC POSITION: Member NATURE: owned by my two brothers and I to hold the farms inherited from our parents. The farms are cash cropped and we split the profits. It is entirely passive income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2013 ADDRESS: 300 Chimney Oaks Dr., Okemos MI 48864, United States DESCRIPTION: Brooks Brothers LLC is owned by my two brothers and I to hold the farms inherited from our parents. The farms are cash cropped and we split the profits. It is entirely passive income. Innovation Partners, LLC, Charlotte, NC, POSTION: Registered Representative, Broker-dealer; Investment related; Starting: 11/2020; 1 hour per month, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph R Brooks'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®
NoneExperience
Current
January 26, 2010 - Present
FAIRHAVEN FINANCIAL ADVISORY CORPORATION
Office #1: 1400 Abbot Road Ste 330, East Lansing, MI 48823RIA
CRD#: 124266
East Lansing, MI
Current
November 1, 2020 - Present
INNOVATION PARTNERS LLC
Office #1: 1400 Abbot Rd Suite 330, East Lansing, MI 48823RIA
BD
CRD#: 146344
East Lansing, MI
Past
April 5, 2019 - November 2, 2020
MERCAP SECURITIES, LLC
BD
CRD#: 156607
ATLANTA, GA
Past
May 3, 2017 - June 2, 2017
ARBOR POINT ADVISORS
RIA
CRD#: 165127
East Lansing, MI
Past
May 3, 2017 - June 2, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
East Lansing, MI
Past
January 31, 1997 - May 8, 2017
OSAIC WEALTH, INC.
BD
CRD#: 23131
EAST LANSING, MI
Past
May 2, 1986 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
July 28, 1980 - May 5, 1986
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
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".
FF
FAIRHAVEN FINANCIAL ADVISORY CORPORATION
FAIRHAVEN FINANCIAL ADVISORY CORPORATION
CRD#: 124266 / SEC#: 801-129226
RIA
Registered Investment Advisory firm - (12/18/2023 Approved)Florida
Registered Investment Advisory firm - (12/26/2023 Terminated)Michigan
Registered Investment Advisory firm - (12/29/2023 Terminated)North Carolina
Registered Investment Advisory firm - (12/26/2023 Terminated)Texas
Registered Investment Advisory firm - (12/26/2023 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Iowa(11/1/2020)
IAR
Michigan(1/26/2010)
RR
Michigan(11/1/2020)
RR
New Jersey(11/1/2020)
IAR
Texas(7/24/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/17/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FAIRHAVEN FINANCIAL ADVISORY CORPORATION
FAIRHAVEN FINANCIAL ADVISORY CORPORATION
CRD#: 124266 / SEC#: 801-129226
RIA
Registered Investment Advisory firm - (12/18/2023 Approved)Florida
Registered Investment Advisory firm - (12/26/2023 Terminated)Michigan
Registered Investment Advisory firm - (12/29/2023 Terminated)North Carolina
Registered Investment Advisory firm - (12/26/2023 Terminated)Texas
Registered Investment Advisory firm - (12/26/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 Abbot Road Ste 330, East Lansing, MI 48823
Mailing Address
P.o. Box 4950, East Lansing, MI 48826-4950
Phone number
(517) 332-2900
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,027 |
| AUM (Assets Under Management) | $ 323,282,269 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
