Shelly L. Brockman

ASSET MANAGEMENT GROUP

CARTERSVILLE, GA 30120

Some features on this profile are disabled

CRD#: 7436086

Professional summary

Shelly Lynn Brockman is a registered financial advisor currently at ASSET MANAGEMENT GROUP located in Cartersville, Georgia.

Shelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Shelly has worked at 2 firms and has passed the Series 65 exam.

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 Shelly Lynn Brockman'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

January 9, 2024 - Present

ASSET MANAGEMENT GROUP

Office #1: 102 North Bartow Street Ste 100, Cartersville, GA 30120

RIA

CRD#: 319444

CARTERSVILLE, GA

Past

October 8, 2021 - December 1, 2023

POTOMAC

RIA

CRD#: 105413

ROSWELL, GA

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".

ASSET MANAGEMENT GROUP

AMG ASSET MANAGEMENT GROUP, INC. | ASSET MANAGEMENT GROUP

CRD#: 319444 / SEC#: 801-125697

RIA

Registered Investment Advisory firm - (5/19/2022 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

Georgia
(1/9/2024)

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 65

Date: 8/17/2021

Uniform Investment Adviser Law Examination

Current Firm

ASSET MANAGEMENT GROUP

AMG ASSET MANAGEMENT GROUP, INC. | ASSET MANAGEMENT GROUP

CRD#: 319444 / SEC#: 801-125697

RIA

Registered Investment Advisory firm - (5/19/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

102 North Bartow Street Ste 100, Cartersville, GA 30120

Mailing Address

Phone number

(678) 792-5855

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMG ASSET MANAGEMENT GROUP INC. FORM ADV PART 2 BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,207
AUM (Assets Under Management)	$ 155,678,906

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.

Similar Advisors

Dean Moberg

SOUND TRUST WEALTH ADVISORS, LLC

IAR

Westport, CT

Joshua Gerber

PERELLA WEINBERG PARTNERS LP

NEW YORK, NY

Matthew Day

RBC CAPITAL MARKETS, LLC

IAR

STAMFORD, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shelly L. Brockman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelly Lynn Brockman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET MANAGEMENT GROUP

POTOMAC

Primary Firm SEC Registration

ASSET MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/17/2021

Current Firm

ASSET MANAGEMENT GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET MANAGEMENT GROUP

TRUST BUT VERIFY

Similar Advisors