FB
Fred K. Brockman
CAPITAL ADVISOR NETWORK
JASPER, IN 47546
Some features on this profile are disabled
CRD#: 7269465
FB
Professional summary
Fred Kent Brockman, who also goes by Fred Brockman, is a registered financial advisor currently at CAPITAL ADVISOR NETWORK located in Jasper, Indiana.
Fred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Fred has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Brockman
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.
1. Brockman Realty/Auction; not investment related; 2123 Newton St, Suite B, Jasper, In 47546; Start Date 1990; Brockman provides real estates sales, education and Auctions. Brockman also buys home for resale. Brockman works 6-8 hours a during the week after trading hours for compensation. 2. Insurance Agent- Various Carriers. Not investment related. Time spent = 30 HRS/MO during trading
CRS (Client Relationship Summary) - RIA
Click below to view Fred Kent Brockman'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
July 31, 2020 - Present
CAPITAL ADVISOR NETWORK
Office #1: 69 Us 231 South, Jasper, IN 47546RIA
CRD#: 297578
JASPER, IN
Past
December 15, 2023 - December 20, 2023
FAMILY WEALTH PLANNING PARTNERS
RIA
CRD#: 323656
LOUISVILLE, KY
Past
July 27, 2020 - December 1, 2023
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
JASPER, IN
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".
CA
CAPITAL ADVISOR NETWORK
CAN WEALTH MANAGEMENT | PURPETUAL WEALTH MANAGEMENT, LLC | MOERDYK FINANCIAL, INC. | MLN WEALTH PLANNING | KENNEDY WEALTH GROUP | EVANS FINANCIAL SERVICES, INC. | ESTATE WEALTH ADVISERS, LLC | CAPTIAL ADVISOR NETWORK, LLC | CAPTIAL ADVISOR NETWORK | CAPITAL ADVISOR NETWORK, LLC | CAPITAL ADVISOR NETWORK
CRD#: 297578 / SEC#: 801-123345
RIA
Registered Investment Advisory firm - (2/28/2022 Approved)Illinois
Registered Investment Advisory firm - (3/1/2022 Terminated)Indiana
Registered Investment Advisory firm - (3/2/2022 Terminated)Michigan
Registered Investment Advisory firm - (3/8/2022 Terminated)Tennessee
Registered Investment Advisory firm - (3/1/2022 Terminated)Texas
Registered Investment Advisory firm - (3/1/2022 Terminated)Virginia
Registered Investment Advisory firm - (3/2/2022 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.Highlighted states indicate IAR registrations
IAR
Indiana(7/31/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/26/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
CA
CAPITAL ADVISOR NETWORK
CAN WEALTH MANAGEMENT | PURPETUAL WEALTH MANAGEMENT, LLC | MOERDYK FINANCIAL, INC. | MLN WEALTH PLANNING | KENNEDY WEALTH GROUP | EVANS FINANCIAL SERVICES, INC. | ESTATE WEALTH ADVISERS, LLC | CAPTIAL ADVISOR NETWORK, LLC | CAPTIAL ADVISOR NETWORK | CAPITAL ADVISOR NETWORK, LLC | CAPITAL ADVISOR NETWORK
CRD#: 297578 / SEC#: 801-123345
RIA
Registered Investment Advisory firm - (2/28/2022 Approved)Illinois
Registered Investment Advisory firm - (3/1/2022 Terminated)Indiana
Registered Investment Advisory firm - (3/2/2022 Terminated)Michigan
Registered Investment Advisory firm - (3/8/2022 Terminated)Tennessee
Registered Investment Advisory firm - (3/1/2022 Terminated)Texas
Registered Investment Advisory firm - (3/1/2022 Terminated)Virginia
Registered Investment Advisory firm - (3/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
925 Mezzanine Drive Suite C, Lafayette, IN 47905
Mailing Address
Phone number
(765) 588-1647
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 99,497,162 |
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.
