KH
Kevin L. Hocker
AEGIS WEALTH MANAGEMENT
Lakewood, CO 80228
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CRD#: 6299270
KH
Professional summary
Kevin Lee Hocker, who also goes by Kevin Hocker, is a registered financial advisor currently at AEGIS WEALTH MANAGEMENT, INC. located in Lakewood, Colorado.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Kevin has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Hocker
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) FEDERAL BENEFITS GROUP, GOLDEN, CO. NON-INVESTMENT-RELATED BUSINESS. CEO /OWNER OFFERING FIXED INSURANCE PRODUCTS WHEN SUITABLE FOR CLIENT AND ASSISTING FEDERAL EMPLOYEES WITH FERS BENEFITS ANALYSIS AND RETIREMENT INCOME PLANS. DEVOTE 60 HOURS PER MONTH. 2) SUCCESS PARTNERS WORLDWIDE LLC - NON- INVESTMENT - RELATED -225 UNION BLVD SUITE 150 LAKEWOOD, CO 80228. LLC UTILIZED FOR INCOME TAX PURPOSES. Start date - 06/2008 - Present
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Lee Hocker'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®
NoneExperience
Current
October 4, 2021 - Present
AEGIS WEALTH MANAGEMENT, INC.
Office #1: 225 Union Blvd. Suite 150, Lakewood, CO 80228RIA
CRD#: 301990
Lakewood, CO
Past
May 12, 2021 - July 2, 2021
SOUND INCOME STRATEGIES, LLC
RIA
CRD#: 173272
Lakewood, CO
Past
June 15, 2016 - June 3, 2021
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Lakewood, CO
Past
April 22, 2015 - May 19, 2016
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
DENVER, CO
Past
April 2, 2015 - May 19, 2016
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
DENVER, CO
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
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
Registered Investment Advisory firm - (8/13/2019 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.Highlighted states indicate IAR registrations
IAR
Colorado(10/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
Registered Investment Advisory firm - (8/13/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
317 State Street, Guthrie Center, IA 50115
Mailing Address
Phone number
(833) 483-8383
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,538 |
| AUM (Assets Under Management) | $ 175,971,164 |
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.
