DR
David L. Rick
RED MOUNTAIN FINANCIAL PARTNERS
Durango, CO 81301
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CRD#: 3237358
DR
Professional summary
David Lee Rick, CFP® is a registered financial advisor currently at RED MOUNTAIN FINANCIAL PARTNERS located in Durango, Colorado and LPL FINANCIAL LLC located in Durango, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
1) 9/20/2021 - Hawks And Eagles - Investment Related - 555 Rivergate Lane, Suite B1-107 - Real Estate Rental - Started 08/29/2021 - 1 Hour Per Month During Securities Trading. 2) 9/30/2021 - Red Mountain Financial Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 09/22/2021 - 12 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Red Mountain Financial Partners, an independent investment advisor firm. I started this business activity in 09/2021. I expect to spend approximately 12 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Rick'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: 2003
Experience
Current
September 28, 2021 - Present
RED MOUNTAIN FINANCIAL PARTNERS
Office #1: 555 Rivergate Lane - Suite B1-107, Durango, CO 81301RIA
CRD#: 174672
Durango, CO
Current
November 25, 2003 - Present
LPL FINANCIAL LLC
Office #1: 555 Rivergate Lane Ste B1-107, Durango, CO 81301RIA
BD
CRD#: 6413
Durango, CO
Past
November 25, 2003 - January 10, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
DURANGO, CO
Past
November 13, 2001 - November 24, 2003
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ROCK ISLAND, IL
Past
September 12, 2001 - November 24, 2003
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 24, 2000 - September 12, 2001
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
ROCKFORD, IL
Past
June 7, 1999 - February 22, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 7, 1999 - February 22, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
RED MOUNTAIN FINANCIAL PARTNERS
RED MOUNTAIN FINANCIAL PARTNERS | RED MOUNTAIN FINANCIAL PARTNERS, LLC
CRD#: 174672 / SEC#: 801-123154
RIA
Registered Investment Advisory firm - (2/9/2022 Approved)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Ohio
Registered Investment Advisory firm - (10/4/2021 Terminated)Texas
Registered Investment Advisory firm - (2/15/2022 Terminated)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
Arizona(1/4/2010)
IAR
Arizona(4/1/2022)
IAR
California(3/22/2022)
RR
California(5/10/2023)
RR
Colorado(1/19/2006)
IAR
Colorado(9/28/2021)
RR
Illinois(11/25/2003)
RR
New Mexico(1/19/2006)
IAR
New Mexico(3/23/2022)
RR
Oklahoma(1/20/2006)
RR
South Carolina(4/25/2017)
IAR
Texas(9/28/2021)
RR
Virginia(5/10/2023)
RR
Washington(8/19/2009)
RR
Wyoming(1/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RM
RED MOUNTAIN FINANCIAL PARTNERS
RED MOUNTAIN FINANCIAL PARTNERS | RED MOUNTAIN FINANCIAL PARTNERS, LLC
CRD#: 174672 / SEC#: 801-123154
RIA
Registered Investment Advisory firm - (2/9/2022 Approved)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Ohio
Registered Investment Advisory firm - (10/4/2021 Terminated)Texas
Registered Investment Advisory firm - (2/15/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
555 Rivergate Lane - Suite B1-107, Durango, CO 81301
Mailing Address
Phone number
(970) 259-1313
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 760 |
| AUM (Assets Under Management) | $ 196,910,579 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RED MOUNTAIN FINANCIAL PARTNERS
CRD#: 174672Durango, CO 81301TRUST BUT VERIFY
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