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Current Employers
Rocky Mountain Private Wealth Management, L.L.C.

Town Center 2245 Texas Drive, Suite 300, Sugar Land, TX 77479 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-17
  • TX RA
    APPROVED_RES
    Since 2025-10-17

Branch Locations

Town Center 2245 Texas Drive, Suite 300, Sugar Land, TX 77479 • United States

Fort Mill, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Purchase NY 06/2009 06/2017
Morgan Stanley Services Group Inc. Baltimore MD 03/2017 06/2017
Cipperman Compliance Services Wayne PA 07/2018 05/2021
Ifp Securities Llc Tampa FL 01/2023 02/2025
Main Street Financial Solutions Llc Newtown PA 01/2023 06/2023
Nextier Solutions Inc. Morrisville NC 06/2023 Present
Mjd Compliance Consultants Llc Malvern PA 05/2021 Present
Capital One Investing, Llc Wilmington DE 06/2017 07/2018
Capital One Advisors, Llc Wilmington DE 06/2017 07/2018
Morgan Creek Capital Distributors, Llc Chapel Hill NC 01/2023 05/2023
  • 06/2009 → 06/2017
    Morgan Stanley Smith Barney
    Purchase, NY
  • 03/2017 → 06/2017
    Morgan Stanley Services Group Inc.
    Baltimore, MD
  • 07/2018 → 05/2021
    Cipperman Compliance Services
    Wayne, PA
  • 01/2023 → 02/2025
    Ifp Securities Llc
    Tampa, FL
  • 01/2023 → 06/2023
    Newtown, PA
  • 06/2023 → Present
    Nextier Solutions Inc.
    Morrisville, NC
  • 05/2021 → Present
    Mjd Compliance Consultants Llc
    Malvern, PA
  • 06/2017 → 07/2018
    Capital One Investing, Llc
    Wilmington, DE
  • 06/2017 → 07/2018
    Capital One Advisors, Llc
    Wilmington, DE
  • 01/2023 → 05/2023
    Morgan Creek Capital Distributors, Llc
    Chapel Hill, NC
Previous Registrations
Other Businesses

MJD Compliance Consultant LLC; 522 Cliff Lane, Malvern, PA, 19355; Investment Related; 6/1/21; Managing Member; Provides outsource CCO and complianceconsulting services to RIAs and BDs; Administer compliance program; provide compliance consulting services; 20 hours per week Retireful LLC; 16932 WillowbrooDrive Haslett, MI, 48840; Investment Related; 7/1/21; CCO; Provides investment management services to registered funds; Administer Compliance Program; 5-10hours per week Tuttle Capital Management LLC; 155 Lockwood Road, Riverside, CT, 06878; Investment Related; 6/1/2022; CCO; Provides investment managementservices to registered funds; Administer Compliance Program; 5-10 hours per week True Wealth Advisory Group LLC; 1 Alhambra Plaza, PH, Coral Gables, FL, 3313Investment Related; 10/1/22; CCO; Provides investment management services to investors; Administer compliance program; 5-10 hours per week Main StreetFinancial Solutions LLC; 503 Washington Ave, Ste 1C, Newtown, PA, 18940; Investment Related; 1/9/2023; Compliance program; Provides investment managementservices to advisory clients; Administer compliance program; 25-30 hours per week Morgan Creek Capital Distributors LLC; 301 West Barbee Chapel Road, Suite 20Chapel Hill, NC, 27517; Investment Related; 2/1/23; CCO; Provides brokerage services to investors; Administer compliance program; 5 hours per week IF Partners;3030 N Rocky Point Dr W, Ste 700, Tampa, FL, 33607; Investment Related; 2/1/23; Consultant; Provides brokerage services to investors; Review marketingcommunications; 5 hours per week Richard L. Chen PLCC Law Firm; 909 Third Avenue, # 8236, New York, NY ,10150; Non-Investment Related; 12/1/222; ConsultanProvides legal and compliance consulting services to RIAs and BDs; Perform compliance consulting services for clients; 5-10 hours per week Bates Group; 5005Meadows Rd, Ste 300, Lake Oswego, OR ,97035; Investment Related; 3/14/2022; Independent Contractor Affiliate; Provides legal and compliance consulting servicto RIAs and BDs; Perform compliance consulting services for clients; 5 hours per week Adviser Compliance Consulting Inc.; 255 Darrell Rd, Hillsborough, CA, 94010Investment Related; 6/1/22; Senior Consultant; Provides outsource CCO and compliance consulting services to RIAs and BDs; Provide compliance consulting servic10 hours per week

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-12
S65 Uniform Investment Adviser Law Examination 1999-02-26
S63 Uniform Securities Agent State Law Examination 1997-03-12
  • S66 Uniform Combined State Law Examination
    2014-06-12
  • S65 Uniform Investment Adviser Law Examination
    1999-02-26
  • S63 Uniform Securities Agent State Law Examination
    1997-03-12

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