Brooke A. Krause
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brooke Ann Krause, who also goes by Brooke Krause, was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 2021. Brooke had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2022 - July 18, 2022
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
February 3, 2021 - December 3, 2021
PFS INVESTMENTS INC.
Primary Firm SEC Registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 2/3/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLIFTONLARSONALLEN LLP | SOLE MEMBER | |
| BLAND, WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | 3259971 |
| BUFFIE, BRIAN JACOB | CHIEF COMPLIANCE OFFICER | 5532207 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL FINANCIAL OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL OPERATIONS OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL | 4587577 |
Regulatory assets under management
| Total Number of Accounts | 22,382 |
| AUM (Assets Under Management) | $ 13,324,042,941 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2025 | ||
| 09/10/2024 | ||
| 08/16/2023 |
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.
