Brett S. Roenick

ALPHACORE CAPITAL LLC

LA JOLLA, CA 92037

Some features on this profile are disabled

CRD#: 7443403

Professional summary

Brett S Roenick is a registered financial advisor currently at ALPHACORE CAPITAL LLC located in La Jolla, California.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Brett has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Brett S Roenick'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 3, 2023 - Present

ALPHACORE CAPITAL LLC

Office #1: 1200 Prospect St Suite 200, La Jolla, CA 92037

RIA

CRD#: 174346

LA JOLLA, CA

Past

December 3, 2021 - September 29, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RANCHO SANTA FE, CA

Past

November 3, 2021 - September 29, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RANCHO SANTA FE, CA

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".

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(10/3/2023)

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 66

Date: 12/2/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/3/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/27/2021

Securities Industry Essentials Examination

Current Firm

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1200 Prospect St Suite 200, La Jolla, CA 92037

Mailing Address

Phone number

(858) 875-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPHACORE FORM ADV PART 2-OCT. 2025 (10/13/2025)

Regulatory assets under management

Total Number of Accounts	6,249
AUM (Assets Under Management)	$ 6,060,926,747

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report

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.

Similar Advisors

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brett S. Roenick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett S Roenick's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHACORE CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALPHACORE CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2021

Series 7TO

Date: 11/3/2021

SIE

Date: 7/27/2021

Current Firm

ALPHACORE CAPITAL LLC

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHACORE CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors