Richard K. Brown

SUMMIT GLOBAL INVESTMENTS

Grand Junction, CO

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CRD#: 4577569

Professional summary

Richard Keith Brown, who also goes by Rick Brown, is a registered financial advisor currently at SUMMIT GLOBAL INVESTMENTS, LLC located in Grand Junction, Colorado and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Grand Junction, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Brown

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.) SUMMIT GLOBAL PRIVATE WEALTH - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - GRAND JUNCTION, CO - SINCE 11/2023 - INVESTMENT RELATED 2.) NEXUS CUSTOM HOMES, LLC - OWNER - REAL ESTATE DEVELOPMENT, CONSTRUCTION AND SALES - GRAND JUNCTION, CO - SINCE 07/2019 - INVESTMENT RELATED 3.) RACA, LLC - OWNER - REAL ESTATE CONSTRUCTION, DEVELOPMENT AND SALES - GRAND JUNCTION, CO - SINCE 05/2016 - INVESTMENT RELATED 4.) RICHARD KEITH BROWN - INSURANCE AGENT - NON-VARIABLE INSURANCE - GRAND JUNCTION, CO - SINCE 10/2023 - INVESTMENT RELATED 5.) SUMMIT GLOBAL INVESTMENTS, LLC - FINANCIAL ADVISOR - REGISTERED INVESTMENT ADVISOR - GRAND JUNCTION, CO - SINCE 10/2023 - INVESTMENT RELATED 6.) JRK LAND COMPANY, LLC - DEVELOPER/BUILDER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - WINDSOR, CO - SINCE 02/2022 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Keith Brown's CRS (Customer Relationship Summary).

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

October 23, 2023 - Present

SUMMIT GLOBAL INVESTMENTS, LLC

RIA

CRD#: 157091

Grand Junction, CO

Current

January 12, 2024 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

GRAND JUNCTION, CO

Past

February 7, 2023 - October 4, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

GUNNISON, CO

Past

May 25, 2022 - October 4, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

GUNNISON, CO

Past

May 1, 2003 - December 31, 2003

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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".

SUMMIT GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 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.

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

California
(1/12/2024)

IAR

Colorado
(10/23/2023)

Colorado
(1/12/2024)

Georgia
(1/12/2024)

Nebraska
(1/12/2024)

New Mexico
(1/12/2024)

Pennsylvania
(1/12/2024)

Utah
(1/12/2024)

Washington
(1/12/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 5/25/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 12/20/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/30/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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Contact information

Main Address

620 South Main Street, Bountiful, UT 84010

Mailing Address

620 South Main Street, Bountiful, UT 84010

Phone number

(888) 251-4847

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SGI BROCHURE (9/15/2025)

SGI BROCHURE (5/21/2025)

Regulatory assets under management

Total Number of Accounts	6,923
AUM (Assets Under Management)	$ 1,921,141,101

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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Firm Stability Insights

Richard K. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Keith Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

SUMMIT GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2023

Series 63

Date: 8/9/2022

Series 6TO

Date: 5/25/2022

SIE

Date: 12/20/2021

Series 6

Date: 4/30/2003

FINRA

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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