CH
Craig A. Houck
MODERN WEALTH MANAGEMENT
ROCHESTER, NY 14604
Some features on this profile are disabled
CRD#: 2716701
CH
Professional summary
Craig Allen Houck, who also goes by Craig A Houck, is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Rochester, New York and MUTUAL SECURITIES, INC. located in Rochester, New York.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Craig has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig A Houck
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.
1. Modern Wealth Management, Start Date: 10/06/2025, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Corporation, RIA, Managing Director, Financial Advisor to Clients, Investment Related, 160 Hours per month, 8 Hours per day during trading hours. 2. Independent Insurance Agent, Start Date: 10/06/2025, One Bausch and Lomb Place, Ste. 900,Rochester, NY 14604, Corporation, RIA, Managing Director, Meet with clients, assess their financial needs, recommend products and services, Investment Related, 160 Hours per month, 8 Hours per day during trading hours. 3. Hope Hall School, Start Date: 08/04/2017, 1612 Buffalo Rd., Rochester, NY 14624, Non-Profit Corporation, School, Board Secretary, We meet monthly as a board to review the status of operations at the school, I also take meeting minutes at these meetings, I server on the Executive, Finance and Governance Committees, Not Investment Related, 5 Hours per month, 1 Hour per day during trading hours. 4. Rochester Presbyterian Home Foundation, Start Date: 05/04/2001, 256 Thurston Rd., Rochester, NY 14619, Not For Profit, Foundation for Senior Living Facility, Board Member, Review reports from investment consultant, vote on financial grants to Rochester Presbyterian Home, Investment Related, 1 Hour per month, 1 Hour per day during trading hours. 5. MUTUAL SECURITIES, INC., INVESTMENT RELATED:YES. ONE BAUSCH & LOMB PLACE, SUITE 900, ROCHESTER, NY 14604: BROKER/DEALER/INVESTMENT ADVISORY SERVICES: REGISTERED REPRESENTATIVE, 10/06/2025, 160 HOURS/MONTH, 8 HOURS/MONTH. 6. Independent Insurance Agent, Start Date: 10/06/2025, 900 Bausch & Lomb Pl., Ste. 900, Rochester, NY 14604, Corporation, RIA, Managing Director, Financial Advisor, Meet with Clients for Financial Planning and Investments, Not Investment Related, 1 Hour per month, 1 Hour per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Allen Houck's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 3, 2025 - Present
MODERN WEALTH MANAGEMENT, LLC
Office #1: One Bausch & Lomb Place Suite 900, Rochester, NY 14604RIA
CRD#: 324624
ROCHESTER, NY
Current
October 6, 2025 - Present
MUTUAL SECURITIES, INC.
Office #1: One Bausch And Lomb Place Ste. 900, Rochester, NY 14604BD
CRD#: 13092
Rochester, NY
Past
February 16, 2017 - October 10, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
FAIRPORT, NY
Past
March 30, 2009 - October 10, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
FAIRPORT, NY
Past
February 15, 2002 - March 4, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROCHESTER, NY
Past
February 29, 1996 - April 1, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
February 29, 1996 - April 1, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
February 28, 1996 - April 1, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 28, 1996 - April 1, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
RIA
Registered Investment Advisory firm - (5/2/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/6/2025)
RR
California(10/6/2025)
RR
Colorado(10/6/2025)
RR
Connecticut(10/6/2025)
RR
District of Columbia(10/6/2025)
RR
Florida(10/6/2025)
RR
Georgia(10/6/2025)
RR
Iowa(10/6/2025)
RR
Maryland(10/6/2025)
RR
Massachusetts(10/6/2025)
RR
Michigan(10/6/2025)
RR
Montana(10/6/2025)
RR
New Hampshire(10/6/2025)
IAR
New York(10/3/2025)
RR
New York(10/6/2025)
RR
North Carolina(10/21/2025)
RR
Ohio(10/6/2025)
RR
Pennsylvania(10/6/2025)
RR
South Carolina(10/6/2025)
RR
Tennessee(10/6/2025)
IAR
Texas(10/3/2025)
RR
Texas(10/6/2025)
RR
Virginia(10/6/2025)
RR
Wisconsin(10/6/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
RIA
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Contact information
Main Address
13550 W 95th St., Lenexa, KS 66227
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 18,823 |
| AUM (Assets Under Management) | $ 6,148,915,787 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624Rochester, NY 14604TRUST BUT VERIFY
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