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Inactive

Joseph M Brooks

Sapere Wealth Management, LLC

Matthews, NC

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Current Employers
Sapere Wealth Management, Llc

130 Matthews Station St. Suite 2A, Matthews, NC 28105 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-05-01
  • NC RA
    APPROVED
    Since 2024-05-01

Branch Locations

130 Matthews Station St. Suite 2A, Matthews, NC 28105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nfp Charlotte NC 12/2008 10/2018
John Garwood Charlotte NC 10/2018 Present
Robert Dayton Charlotte NC 10/2018 Present
Northwestern Mutual Investment Services Llc Charlotte NC 10/2018 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2018 Present
John R Mclaughlin Charlotte NC 04/2021 Present
Thomas Tartt Brown Charlotte NC 04/2021 Present
  • 12/2008 → 10/2018
    Nfp
    Charlotte, NC
  • 10/2018 → Present
    John Garwood
    Charlotte, NC
  • 10/2018 → Present
    Robert Dayton
    Charlotte, NC
  • 10/2018 → Present
    Northwestern Mutual Investment Services Llc
    Charlotte, NC
  • 11/2018 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 04/2021 → Present
    John R Mclaughlin
    Charlotte, NC
  • 04/2021 → Present
    Thomas Tartt Brown
    Charlotte, NC
Previous Registrations
  • 2018-10-23 → 2023-10-31
    Northwestern Mutual Investment Services, Llc
    Charlotte, NC
  • 2016-04-19 → 2018-10-08
    Kestra Advisory Services, Llc
    Charlotte, NC
    Charlotte, NC
    Austin, TX
  • 2010-11-30 → 2016-09-22
    Kestra Investment Services, Llc
    Charlotte, NC
    Charlotte, NC
    Austin, TX
  • 2008-12-16 → 2010-11-29
    Nrp Advisors, Inc.
    Charlotte, NC
  • 2005-04-01 → 2008-11-26
    Kestra Investment Services, Llc
    Charlotte, NC
  • 2002-05-13 → 2003-06-02
    Osaic Fa, Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-18
S63 Uniform Securities Agent State Law Examination 2000-01-20
  • S66 Uniform Combined State Law Examination
    2002-04-18
  • S63 Uniform Securities Agent State Law Examination
    2000-01-20
Designations
Other Names
  • Joseph Matthew Brooks
  • Joseph M Brooks
  • Joe Brooks

View on SEC IAPD

Other Firms

NEXUS CAPITAL INC
EDWARD JONES
FOUNDERS FINANCIAL SECURITIES LLC
LPL ENTERPRISE, LLC
FAMILY WEALTH PARTNERS, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
COMMONWEALTH FINANCIAL NETWORK

Other Investors

ANUP A DESAI
Nadir Kabir Noorani
AFZAL SADRUDDIN MITHWANI
Ashton L Dufresne
Collin J Brantmeyer
Joseph A Marano
BRADLEY PHILLIP KELLEN
DAVID REID

Other Offices

NEXUS CAPITAL INC · MATTHEWS, NC
EDWARD JONES · MATTHEWS, NC
FOUNDERS FINANCIAL SECURITIES LLC · Matthews, NC
LPL ENTERPRISE, LLC · MATTHEWS, NC
FAMILY WEALTH PARTNERS, LLC · MATTHEWS, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Matthews, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MATTHEWS, NC
LPL ENTERPRISE, LLC · STALLING, NC

More in Matthews, NC

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