Brian RorickCRD Number: 4525184
Current Firm: Aveo Capital Partners, LLC
Brian Rorick (CRD# 4525184) is an Investment Advisor Representative working at Aveo Capital Partners, LLC in Greenwood Village, CO and has over 15 years of experience in the finance industry. Brian Rorick has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ewealth Consulting, LLC
Anthony Capital, LLC
|Aveo Capital Partners, LLC||Littleton, CO||Jul 2011 - Current||6|
|Stephen A. Kohn & Associates, Ltd.||Lakewood, CO||Jul 2011 - Current||6|
|Ubs Financial Servics Inc.||Denver, CO||Feb 2007 - Jul 2011||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Denver, CO||Apr 2002 - Feb 2007||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management554MILLIONS
Total Number of Accounts2,669ACCOUNTS
Average Account Value$207,646
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AZ, CA, CO, FL, GA, IL, IN, TX, WA
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