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HK

Harold R. Kroeger

TOWERHILL WEALTH MANAGEMENT
Aspen, CO
Some features on this profile are disabled
CRD#: 2961284
HK

Professional summary

Harold Rockwell Kroeger, who also goes by Hal Kroeger, Rocky Kroeger, is a registered financial advisor currently at TOWERHILL WEALTH MANAGEMENT, LLC located in Aspen, Colorado.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Harold has worked at 4 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Hal Kroeger | Rocky Kroeger

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) - RIA

Click below to view Harold Rockwell Kroeger'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®
None

Experience

Current

June 20, 2016 - Present

TOWERHILL WEALTH MANAGEMENT, LLC

RIA
CRD#: 109998
Aspen, CO
Past

September 19, 2001 - December 4, 2003

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

October 3, 2000 - December 4, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 24, 1998 - July 16, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 7, 1997 - December 3, 1997

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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.

Highlighted states indicate IAR registrations

IAR
Missouri
(6/20/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/20/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2000
General Securities Representative Examination

Current Firm

TW
TOWERHILL WEALTH MANAGEMENT, LLC
CAPITAL PRIVATE WEALTH MANAGEMENT LLC | TOWERHILL WEALTH MANAGEMENT, LLC

CRD#: 109998 / SEC#: 801-57632

RIA
Registered Investment Advisory firm - (7/18/2017 Terminated)
Missouri
Registered Investment Advisory firm - (7/5/2017 Approved)
PREMIUM
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Contact information

Main Address
St. Louis, MO
Mailing Address
P.o. Box 410559, St. Louis, MO 63141
Phone number
(314) 725-6300
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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.

Company Information

TOWERHILL WEALTH MANAGEMENT, LLC

CRD#: 109998Aspen, CO

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