Brock M. Alspaugh

ALSPAUGH WEALTH MANAGEMENT

Cape Girardeau, MO 63701

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CRD#: 4465887

Professional summary

Brock Matthew Alspaugh, who also goes by Brock Alspaugh, is a registered financial advisor currently at ALSPAUGH WEALTH MANAGEMENT located in Cape Girardeau, Missouri.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brock has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brock Alspaugh

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. INNOVATIVE INSURANCE CONSULTANTS, LLC; INVESTMENT RELATED; CAPE GIRARDEAU, MO; INSURANCE PRODUCTS SALES AND SERVICES; INDEPENDENT INSURANCE AGENT; DECEMBER 2008. 2. UNIQUE BABY, NON-INVESTMENT RELATED, 1923 N KINGSHIGHWAY ST UNIT 4 CAPE GIRARDEAU MO 63701, RENTAL PROPERTY, 07/2010, 1 HOUR PER MONTH, 0 HOUR DURING SECURITIES TRADING, RENTAL PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Matthew Alspaugh'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®

None

Experience

Current

May 16, 2013 - Present

ALSPAUGH WEALTH MANAGEMENT

Office #1: 1923 North Kingshighway Suite 4, Cape Girardeau, MO 63701

RIA

CRD#: 167477

Cape Girardeau, MO

Past

April 24, 2013 - January 29, 2018

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

CAPE GIRARDEAU, MO

Past

January 5, 2009 - April 25, 2013

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

January 5, 2009 - April 25, 2013

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CAPE GIRARDEAU, MO

Past

May 2, 2007 - December 31, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CAPE GIRARDEAU, MO

Past

May 1, 2007 - December 31, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CAPE GIRARDEAU, MO

Past

May 6, 2002 - May 2, 2007

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CAPE GIRARDEAU, MO

Past

December 17, 2001 - May 2, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CAPE GIRARDEAU, MO

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

Illinois
(5/19/2014)

IAR

Louisiana
(11/13/2024)

IAR

Missouri
(5/16/2013)

IAR

Texas
(11/7/2024)

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: 2/21/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2001

General Securities Representative Examination

Current Firm

ALSPAUGH WEALTH MANAGEMENT

ALSPAUGH WEALTH MANAGEMENT | INNOVATIVE FINANCIAL SOLUTIONS | INNOVATIVE FINANCIAL PLANNERS, LLC | INNOVATIVE FINANCIAL PLANNERS | ALSPAUGH WEALTH MANAGEMENT, LLC

CRD#: 167477 / SEC#:

Illinois

Registered Investment Advisory firm - (5/19/2014 Approved)

Kentucky

Registered Investment Advisory firm - (10/18/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (11/13/2024 Approved)

Missouri

Registered Investment Advisory firm - (5/13/2013 Approved)

Texas

Registered Investment Advisory firm - (11/7/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1923 North Kingshighway Suite 4, Cape Girardeau, MO 63701

Mailing Address

Phone number

(573) 332-7855

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	59
AUM (Assets Under Management)	$ 47,120,000

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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Brock M. Alspaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Matthew Alspaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALSPAUGH WEALTH MANAGEMENT

TAYLOR CAPITAL MANAGEMENT INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2002

SIE

Date: 1/29/2018

Series 7

Date: 12/14/2001

Current Firm

ALSPAUGH WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALSPAUGH WEALTH MANAGEMENT

TRUST BUT VERIFY

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