Stephen Caruso
President & Founder
Investment advice is offered through Brookwood Investment Group, LLC, an investment adviser registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940 with its principal supervisory office in Phoenix, Arizona. Registration with the SEC should not be construed to imply that the SEC has approved or endorsed qualifications or the services offered, or that its personnel possess a particular level of skill, expertise or training. Additional information pertaining to our registration status, business operations, services and fees and its current written disclosure statement is available on the SEC’s Investment Adviser public website at https://www.adviserinfo.sec.gov/.
Brookwood does not attempt to furnish personalized investment advice or services through this website. Nothing on this website should be construed as personalized investment, legal, tax or insurance advice and any information contained herein should not be considered as a recommendation for any specific investment product, strategy, plan feature or other purposes. We are not suggesting that the recipient or any other person take a specific course of action or any action at all.
This website is limited to the dissemination of general information pertaining to the advisory services offered and the services offered by our affiliates solely to gain an understanding of our services so that you may contact us or our affiliates for further information. Photos and images on this Website are not of past or present clients of Brookwood or any of its Affiliates. These photos should not be construed as an endorsement of Brookwood or its affiliates by any client.
Brookwood Investment Group provides investment advisory and related services for clients nationally and maintains all applicable registration and licenses as required by the various states in which it conducts business, as applicable. Brookwood renders individualized responses to persons in a particular state only after complying with all notice filing and regulatory requirements, or pursuant to an applicable state exemption or exclusion. Please contact us at 480-646-3504 to find out if investment advisory services are provided in the state where you reside. Any subsequent, direct communication by us with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.
An investment advisory relationship can only be established and investment advice can only be provided after the following three events have been completed: (1) our thorough review with you of all the relevant facts pertaining to a potential engagement; (2) the execution of a written advisory agreement; and (3) delivery of our Form ADV Disclosure Brochure and the Brochure Supplement for each advisory person supporting a particular client. You may obtain a copy of these disclosures on the SEC website at http://adviserinfo.sec.gov or you may Contact Us at compliance@brookwoodinvestmentgroup.com to request a free copy via pdf or hardcopy.
Prior to making any investment or financial decisions, an investor should seek individualized advice from a qualified professional that takes into account all of the particular facts and circumstances of an investor’s personal situation.
If you are a current Client it is important to remember that it is your responsibility to notify us, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, if you would like to impose, add, or modify any reasonable restrictions to our investment advisory services.