Harold E. Briggs

Some features on this profile are disabled

CRD#: 4404074

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.

Harold Edward Briggs JR., CFP®, who also goes by Skip Briggs, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 2001. Harold had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Skip Briggs

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^®

CRD#: 30349

WARWICK, RI

Past

October 25, 2001 - December 11, 2001

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289 / SEC#: 801-72862

RIA

Registered Investment Advisory firm - (12/7/2011 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 66

Date: 11/28/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2003

General Securities Principal Examination

Current Firm

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289 / SEC#: 801-72862

RIA

Registered Investment Advisory firm - (12/7/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

1,915

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/2/2026)

ADV PART 2A APPENDIX - WRAP BROCHURE (2/2/2026)

Regulatory assets under management

Total Number of Accounts	220,585
AUM (Assets Under Management)	$ 181,862,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report
12/20/2024	Cover Page	Report
07/26/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold E. Briggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BUCKINGHAM STRATEGIC WEALTH, LLC

BRIGGS ADVISORY GROUP, INC.

BENTLEY WEALTH ADVISORS, LLC

CREATIVE RESOURCES INVESTMENT ADVISORS LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

FOCUS PARTNERS WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2001

SIE

Date: 6/12/2018

Series 7

Date: 10/24/2001

Series 24

Date: 2/3/2003

Current Firm

FOCUS PARTNERS WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOCUS PARTNERS WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors