Brock J. Andersen

CAPITA FINANCIAL NETWORK

DRAPER, UT 84020

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CRD#: 6670149

Professional summary

Brock J. Andersen, who also goes by Brock Andersen, Brock Anderson, is a registered financial advisor currently at CAPITA FINANCIAL NETWORK, LLC located in Draper, Utah.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Brock has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brock Andersen | Brock Anderson

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 Brock J. Andersen'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

September 28, 2023 - Present

CAPITA FINANCIAL NETWORK, LLC

Office #1: 14658 S. Bangerter Pkwy Ste 300, Draper, UT 84020

RIA

CRD#: 290558

DRAPER, UT

Past

March 3, 2023 - September 24, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Salt Lake City, UT

Past

August 16, 2016 - September 24, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Salt Lake City, UT

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".

CAPITA FINANCIAL NETWORK, LLC

CRD#: 290558 / SEC#: 801-112411

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

Louisiana

Registered Investment Advisory firm - (2/8/2025 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

Utah
(9/28/2023)

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 65

Date: 3/3/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2016

General Securities Representative Examination

Current Firm

CAPITA FINANCIAL NETWORK, LLC

CRD#: 290558 / SEC#: 801-112411

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

Louisiana

Registered Investment Advisory firm - (2/8/2025 Approved)

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Contact information

Main Address

14658 S. Bangerter Pkwy Ste 300, Draper, UT 84020

Mailing Address

Phone number

(801) 566-5058

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2025) (3/12/2025)

Regulatory assets under management

Total Number of Accounts	5,991
AUM (Assets Under Management)	$ 1,849,625,913

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 J. Andersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock J. Andersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

CAPITA FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2023

Series 63

Date: 9/19/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2016

Current Firm

CAPITA FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITA FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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