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BG

Brian J. Goracke

Some features on this profile are disabled
CRD#: 3274062
BG

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.

Brian James Goracke was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

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®
None

Experience

Past

March 12, 2018 - December 2, 2025

AVIOR WEALTH MANAGEMENT, LLC

RIA
CRD#: 148674
OMAHA, NE
Past

April 21, 2006 - February 13, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LA VISTA, NE
Past

March 10, 2006 - February 13, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LA VISTA, NE
Past

January 28, 2003 - April 6, 2004

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BELLEVUE, NE
Past

January 2, 2002 - April 6, 2004

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

August 27, 1999 - December 31, 2001

J.P. SECURITIES, INC.

BD
CRD#: 36559
BELLEVUE, NE

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".
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA
Registered Investment Advisory firm - (12/4/2008 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.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/18/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/24/2002
Registered Options Principal Examination

Current Firm

AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA
Registered Investment Advisory firm - (12/4/2008 Approved)
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Contact information

Main Address
14301 First National Bank Parkway Suite 410, Omaha, NE 68154
Mailing Address
Phone number
(402) 218-4064
Established
Firm type
Fiscal year end
# of Employees
201

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AVIOR ADV 2A 3/2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts4,385
AUM (Assets Under Management)$ 5,083,670,234

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

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674

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