Rex L. Horrocks

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CRD#: 250444

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rex Lee Horrocks was a registered financial professional .

Rex is a previously registered financial professional and started their career in finance in 1981. Rex had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 20, 2017 - January 5, 2018

COLUMBIA ADVISORY PARTNERS, LLC

RIA

CRD#: 171616

Fernandina Beach, FL

Past

August 16, 2016 - November 28, 2016

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

August 2, 2005 - August 1, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

AMELIA ISLAND, FL

Past

July 8, 1999 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

KEYSTONE HEIGHTS, FL

Past

September 21, 1995 - August 1, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

AMELIA ISLAND, FL

Past

November 3, 1992 - September 21, 1995

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

May 2, 1990 - July 11, 1991

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 21, 1985 - January 11, 1990

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 2, 1982 - January 29, 1985

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

December 22, 1981 - January 25, 1985

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COLUMBIA ADVISORY PARTNERS, LLC

CRD#: 171616 / SEC#: 801-116703

RIA

Registered Investment Advisory firm - (5/30/2019 Approved)

Arizona

Registered Investment Advisory firm - (5/31/2019 Terminated)

California

Registered Investment Advisory firm - (6/30/2019 Terminated)

Florida

Registered Investment Advisory firm - (1/8/2018 Terminated)

Idaho

Registered Investment Advisory firm - (5/31/2019 Terminated)

Indiana

Registered Investment Advisory firm - (1/8/2018 Terminated)

Missouri

Registered Investment Advisory firm - (12/11/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/8/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/4/2018 Terminated)

Oregon

Registered Investment Advisory firm - (6/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/31/2019 Terminated)

Utah

Registered Investment Advisory firm - (12/11/2018 Terminated)

Washington

Registered Investment Advisory firm - (6/7/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/27/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/25/1996

General Securities Principal Examination

Current Firm

COLUMBIA ADVISORY PARTNERS, LLC

CRD#: 171616 / SEC#: 801-116703

RIA

Registered Investment Advisory firm - (5/30/2019 Approved)

Arizona

Registered Investment Advisory firm - (5/31/2019 Terminated)

California

Registered Investment Advisory firm - (6/30/2019 Terminated)

Florida

Registered Investment Advisory firm - (1/8/2018 Terminated)

Idaho

Registered Investment Advisory firm - (5/31/2019 Terminated)

Indiana

Registered Investment Advisory firm - (1/8/2018 Terminated)

Missouri

Registered Investment Advisory firm - (12/11/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/8/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/4/2018 Terminated)

Oregon

Registered Investment Advisory firm - (6/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/31/2019 Terminated)

Utah

Registered Investment Advisory firm - (12/11/2018 Terminated)

Washington

Registered Investment Advisory firm - (6/7/2019 Terminated)

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Contact information

Main Address

6501 N Cedar Road Building 4, Suite C, Spokane, WA 99208

Mailing Address

Phone number

(509) 822-3850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLUMBIA ADVISORY PARTNERS, LLC ADV PART 2A (11/6/2025)

Regulatory assets under management

Total Number of Accounts	1,744
AUM (Assets Under Management)	$ 262,790,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Rex L. Horrocks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX SECURITIES LLC

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

TOWER SQUARE SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

COLUMBIA ADVISORY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/1999

Series 63

Date: 5/3/1985

SIE

Date: 11/28/2016

Series 1

Date: 1/27/1972

Series 24

Date: 11/25/1996

Current Firm

COLUMBIA ADVISORY PARTNERS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLUMBIA ADVISORY PARTNERS, LLC

TRUST BUT VERIFY

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