Joel W. Looney

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CRD#: 3128830

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.

Joel Walter Looney, CFP® was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1998. Joel had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Past

October 1, 2013 - April 6, 2026

ROCKY MOUNTAIN ADVISERS, LLC

RIA

CRD#: 148479

SALINA, KS

Past

April 23, 2007 - October 1, 2013

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

SALINA, KS

Past

April 23, 2007 - October 1, 2013

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

SALINA, KS

Past

July 6, 1999 - May 2, 2007

CETERA ADVISORS LLC

RIA

CRD#: 10299

SALINA, KS

Past

May 26, 1999 - May 2, 2007

CETERA ADVISORS LLC

CRD#: 10299

SALINA, KS

Past

October 20, 1998 - May 25, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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".

ROCKY MOUNTAIN ADVISERS, LLC

ROCKY MOUNTAIN ADVISERS, LLC | SRH ADVISORS, LLC

CRD#: 148479 / SEC#: 801-70202

RIA

Registered Investment Advisory firm - (6/3/2009 Approved)

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: 6/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1998

General Securities Representative Examination

Current Firm

ROCKY MOUNTAIN ADVISERS, LLC

ROCKY MOUNTAIN ADVISERS, LLC | SRH ADVISORS, LLC

CRD#: 148479 / SEC#: 801-70202

RIA

Registered Investment Advisory firm - (6/3/2009 Approved)

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Contact information

Main Address

2121 E. Crawford Place, Salina, KS 67401

Mailing Address

Phone number

(785) 823-3097

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SRH ADV BROCHURE 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	419
AUM (Assets Under Management)	$ 2,961,115,724

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

Joel W. Looney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROCKY MOUNTAIN ADVISERS, LLC

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ROCKY MOUNTAIN ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/14/1999

Series 63

Date: 11/9/1998

Series 7

Date: 10/19/1998

Current Firm

ROCKY MOUNTAIN ADVISERS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKY MOUNTAIN ADVISERS, LLC

TRUST BUT VERIFY

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