Joseph Brooks has been an investment adviser representative at Sapere Wealth Management since May 2024, and is not listed among the firm’s executive officers or direct owners.
Sapere Wealth Management, LLC is a Matthews, NC firm with $605M under management, 240 clients and 1 adviser across 2 offices, as of its March 2026 filing.
Joseph Brooks’ longest registration was 5 years at NFP Advisor Services, LLC (2010–2016). Before joining Sapere Wealth Management in 2024, Joseph Brooks was registered through Northwestern Mutual Investment Services,llc and Kestra Advisory Services, LLC.
- – present · 2 yearsMatthews, NC · Adviser representative · Firm CRD 119598
- Northwestern Mutual Investment Services,llc– · 5 yearsCharlotte, NC · Adviser representative · Firm CRD 2881
- Kestra Advisory Services, LLC– · 2 yearsCharlotte, NC · Adviser representative · Firm CRD 283330
- NFP Advisor Services, LLC– · 5 yearsCharlotte, NC · Adviser representative · Firm CRD 42046
- NRP Advisors, Inc.– · 1 yearCharlotte, NC · Adviser representative · Firm CRD 141430
- NFP Securities, Inc.– · 3 yearsCharlotte, NC · Adviser representative · Firm CRD 42046
- Lincoln Financial Advisors Corporation– · 1 yearCharlotte, NC · Adviser representative · Firm CRD 3978
Investment adviser representative registrations
Joseph Brooks is registered as an investment adviser representative in North Carolina, since May 2024.
- North CarolinaSince 1 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 April 2002 |
| Series 24 | General Securities Principal Examination | 13 December 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 January 2000 |
| Series 7 | General Securities Representative Examination | 17 November 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 October 1995 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joseph M Brooks
- CRD
- 2664035
- Firm
- Sapere Wealth Management · CRD 119598
- Office
- 130 MATTHEWS STATION ST., SUITE 2A, Matthews, NC 28105
- Registration
- Investment adviser registration
- In the industry since
- October 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Brooks work?
Joseph Brooks is an investment adviser representative registered through Sapere Wealth Management, LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Brooks a financial advisor?
Yes. Joseph Brooks has a current investment-adviser registration in North Carolina, through Sapere Wealth Management since May 2024.
How many years of experience does Joseph Brooks have?
Joseph Brooks has 26 years in the financial industry, since October 1999, across 6 adviser firms.
What exams has Joseph Brooks passed?
Joseph Brooks has passed 6 licensing exams: the Series 6, Series 7, Series 63, Series 24, Series 66 and Series 6TO. The earliest, the Series 6, was passed in October 1995. FINRA credited Joseph Brooks with the SIE, which began in October 2018.
Where did Joseph Brooks work before Sapere Wealth Management?
Before Sapere Wealth Management, Joseph Brooks was registered through Northwestern Mutual Investment Services,llc, October 2018 to October 2023; Kestra Advisory Services, LLC, April 2016 to October 2018; NFP Advisor Services, LLC, November 2010 to September 2016; NRP Advisors, Inc., December 2008 to November 2010; NFP Securities, Inc., April 2005 to November 2008; Lincoln Financial Advisors Corporation, May 2002 to June 2003.
Where is Joseph Brooks based?
Joseph Brooks’ registered office is in Matthews, NC.
Is Joseph Brooks registered with FINRA?
No. Joseph Brooks has no current broker registration.
How can I verify Joseph Brooks’ record?
Search CRD 2664035 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Brooks’ full registration record.