JL
Joel W. Looney
ROCKY MOUNTAIN ADVISERS
Salina, KS 67401
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CRD#: 3128830
JL
Professional summary
Joel Walter Looney, CFP® is a registered financial advisor currently at ROCKY MOUNTAIN ADVISERS, LLC located in Salina, Kansas.
Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joel has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SRH Total Return Fund, Inc. (formerly Boulder Growth & Income Fund, Inc.),1700 Broadway, Suite 1230, Denver, CO 80290,INVESTMENT RELATED-CLOSED END MUTUAL FUND, PRESIDENT SINCE 02/2018, CHAIRMAN OF BOARD AND DIRECTOR SINCE 01/2002,CHAIRMAN OF AUDIT COMMITTEE FROM 1/2002 TO 01/2013, 80 HRS/MO, 80 HRS/MO DURING TRADING HOURS; JL Tax Service, LLC, 2121 E. Crawford Place, Salina, KS 67401, NOT INVESTMENT RELATED,TAX PREPARATION,SINCE 10/2019, FEB-APR 20 HRS/WK, 15 HRS/WEEK DURING TRADING HOURS; PEAK TRUST COMPANY-AK, 3000 A STREET #200, ANCHORAGE, AK 99503, INVESTMENT RELATED,DIRECTOR AND MEMBER OF AUDIT COMMITTEE SINCE 11/2014, 5 HRS/MO, 1-3 HRS/MO DURING TRADING HOURS; PEAK TRUST COMPANY-NV, 1880 E. WARM SPRINGS ROAD #135, LAS VEGAS, NV 89119, INVESTMENT RELATED, DIRECTOR AND MEMBER OF AUDIT COMMITTEE SINCE 06/2016, 5 HRS/MO, 1-3 HR/MO DURING TRADING HOURS; PARALEL TECHNOLOGIES, 1700 Broadway, Suite 1230, Denver, CO, 80290, INVESTMENT RELATED, MEMBER OF ADVISORY BOARD since 2021, 1 HR/MO, 0 HOURS during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Walter Looney'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®
CFP®
Start date: 2001
Experience
Current
October 1, 2013 - Present
ROCKY MOUNTAIN ADVISERS, LLC
Office #1: 2121 E. Crawford Place, Salina, KS 67401RIA
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.
BD
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
BD
CRD#: 10299
SALINA, KS
Past
October 20, 1998 - May 25, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
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".
RM
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.
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
Kansas(10/1/2013)
IAR
Texas(2/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
RM
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)Upgrade to AdvisorCheck Premium
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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
10
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 419 |
| AUM (Assets Under Management) | $ 2,961,115,724 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
