Joseph W. Brady

ROCK FINANCIAL PLANNING

Arvada, CO

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CRD#: 5730275

Professional summary

Joseph William Brady, CFP®, who also goes by Joseph Brady, is a registered financial advisor currently at ROCK FINANCIAL PLANNING located in Arvada, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Life Transitions

Inheritance

Estate Planning

Tax Planning

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Joseph Brady

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) - RIA

Click below to view Joseph William Brady'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^®

Certified Financial Planner

Start date: 2020

Experience

Current

September 5, 2019 - Present

ROCK FINANCIAL PLANNING

RIA

CRD#: 304615

Arvada, CO

Past

March 23, 2018 - October 25, 2019

TRANSITIONS WEALTH MANAGEMENT, LLC

RIA

CRD#: 107812

GREENWOOD VILLAGE, CO

Past

March 27, 2017 - November 7, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

April 20, 2016 - November 6, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

October 5, 2015 - March 10, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LONE TREE, CO

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

Colorado
(9/5/2019)

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: 3/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/17/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2015

General Securities Representative Examination

Current Firm

ROCK FINANCIAL PLANNING

ROCK FINANCIAL PLANNING | ROCK PLANNING | ROCK FINANCIAL PLANNING LLC

CRD#: 304615 / SEC#:

Colorado

Registered Investment Advisory firm - (9/5/2019 Approved)

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Contact information

Main Address

Arvada, CO

Mailing Address

Phone number

(720) 798-2098

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 938,802

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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Joseph W. Brady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Brady's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCK FINANCIAL PLANNING

TRANSITIONS WEALTH MANAGEMENT, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2017

Series 63

Date: 12/17/2015

SIE

Date: 11/6/2017

Series 7

Date: 10/5/2015

Current Firm

ROCK FINANCIAL PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCK FINANCIAL PLANNING

TRUST BUT VERIFY

Contact information

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