Joseph Brockman Jr., CFP®
Bloomfield Hills, Michigan, 48304
Member Since 2009
The individual investor should consider approaching financial planning and investing as an institution does : 1) with a formal written financial plan and 2) a separate investment policy and investment plan and 3) carried out by fully qualified investment professionals using very high-quality investment management . In investing, Institutions are mostly successful, while most individuals do not reach their goals. A simple implemented plan is much superior to the elaborate exercise on a shelf. I offer a proven, disciplined approach that expects, plans for and works in both good times and bad.
My Location
Background Information
Years of Financial Experience
- 17
Education
- The Wharton School of the University of Penn (Master of Business Administration (MBA))
- Indiana University (Bachelor of Arts (BA))
Certifications and Designations
- CFP®
Association Memberships
- Market Technician\'s Association
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Commissions (Investment)
Primary Custodian(s)
- National Financial Services
- Fidelity
Types of Financial Reports
- Performance Report (Annually)
- Custodial Report (Monthly)
- Other
Additional Business Practices
- I work with remote clients over the telephone and Internet
- I review my clients' financial plans with them
- I review my clients' investment portfolios with them
Registration & Licensing
- Investment Advisor Representative
- CRD/IARD Number: 2234536
- Securities Registrations: Series 7, Series 63, Series 65
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability, Health, variable contracts
Company Names
- Registered Investment Advisor: Cambridge Investment Research Advisors
- Broker/Dealer: Cambridge Investment Research, Inc.
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Planning Services
- Financial Planning, Retirement, College Funding, Estate
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Performance Reporting, Tax Efficient Strategies
Investment Products
- Mutual Funds, Securities, Hedge Fund, REITs, Equity
Insurance Products
- Life, Fixed Annuity, Variable Annuity
