Wilfred Joseph Brockman

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2010 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 12/2010 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2010-10-12 → 2010-12-17
  B. Riley Wealth Management
  Plymouth, MI
• 2009-03-13 → 2010-10-15
  Rbc Capital Markets, Llc
  Plymouth, MI
• 2002-11-19 → 2009-03-13
  Ferris, Baker Watts, Llc
  Plymouth, MI
  Plymouth, MI

Other Businesses

1.INDEPENDENT INSURANCE AGENT, 2323 BUTTERFLY PALM DR, NAPLES, MI, 7/2013 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/MO - 1/TRADING. 2.BROCKMANWEALTH AND CAPITAL LLC, 2323 BUTTERFLY PALM DRIVE, NAPLES, FL, 1/2017 AS OWNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 2/WK - 1/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 25/WK - 20/TRADING.12/20/10, SEE EMPLOYMENT HISTORY FOR START DATE.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-07-30
• S63 Uniform Securities Agent State Law Examination
  1992-06-01

Designations

• Certified Financial Planner

Other Names

• Joe Brockman