Registration Status – Registered with the SEC 19831 Principal Owners – Joseph A. Wells, Robert J. Wells and Larry M. Jakubowitz Assets under management – Discretionary: $ 562,841,179 (as of December 31, 2023) Non-discretionary: $0 Firm Description Brooker Wealth Management provides investment management and financial planning/financial consulting services to its clients. Investment Management Services Investment management services are provided on discretionary basis and include, among other services, financial goal setting, risk assessment, strategic asset allocation and the selection of investments. Securities transactions are supervised on a continuous basis and each client’s portfolio holdings and asset allocations are monitored on a periodic basis. The investment management services we provide are based on each individual client’s financial circumstances and investment objectives. The Firm’s portfolio managers meet with each client to discuss the client’s current financial condition and to review the client’s current investment holdings. Based upon each client’s circumstances, we determine an appropriate asset allocation for the client’s investment portfolio, in accordance with the client’s specific financial objectives and risk tolerance and in consideration of other factors, including the client’s time horizon (education funding, home purchase, retirement, legacy planning), liquidity needs, and other available resources (including external retirement plans, projected social security, outside investments, real estate, and insurance). Each client’s financial objectives, risk tolerance, and liquidity needs, along with a recommended asset allocation, are incorporated into an investment plan that is customized to the client. Clients may identify any investment restrictions to be placed on their account. A client may make additions to and withdrawals from the client’s portfolio account at any time, subject to the usual and customary brokerage settlement procedures. However, we design client portfolios as long-term investments and caution our clients that asset withdrawals may impair the achievement of the client’s investment objectives. Additions to an account may be in cash or securities provided that we may decline to accept particular securities into a client’s account or may recommend that the security be liquidated if it is inconsistent with the Firm’s investment strategy or the client’s investment objectives. Clients are advised

that when transferred securities are liquidated, they may be subject to transaction fees, fees assessed at the mutual fund level (i.e. contingent deferred sales charge) and/or tax ramifications. Types of Investments Brooker Wealth’s investment strategy focuses primarily on no-load mutual funds, ETFs, domestic bonds, certificates of deposit, and U. S. government securities. For all client accounts over which Brooker Wealth has been granted discretionary authority, it is authorized to enter into any investment that it deems appropriate for the account, given financial circumstances, investment objectives, risk tolerance, and investment restrictions, if any, set by the individual client. For 1“Registration” means only that the Firm meets the minimum requirements for registration as an investment advisor and does not imply a certain level of skill or training or that the SEC or other regulator guarantees the quality of our services or recommends them. individual client accounts over which the client has retained discretionary authority, Brooker Wealth is authorized to make investments only with prior client authorization. Fiduciary Status When Brooker Wealth provides investment advice to you regarding your investment accounts, including your retirement plan account or individual retirement account, we are fiduciaries within the meaning of certain state and federal laws such as the Employee Retirement Income Security Act and/or the Internal Revenue Code and the regulations of the U.S. Securities and Exchange Commission, as applicable. These regulations require us to act in your best interest and not put our interests ahead of yours. Financial Planning and Financial Consulting Services In addition to investment management services and fiduciary review services, Brooker Wealth offers a broad range of comprehensive financial planning and other financial consulting services which may include tax related accounting or other non-investment related matters for individuals and companies such as:
• Comprehensive Financial Planning
• Asset Allocation
• Retirement Planning
• Current Portfolio Recommendation
• Education Funding Analysis
• Review of Insurance Needs
• Real Estate Investment Analysis
• Mortgage and Refinance Evaluation
• Estate Plan Review or Development Financial planning/consultation clients are not required to be investment management clients of the Firm. All planning and consultation services are rendered pursuant to a separate client agreement, distinct from the Firm’s investment management agreement.