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Rolfe Warfield Spiegel

Three Waters Financial

Ignacio, CO

CRD 7365302

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Employer firm

Three Waters Financial CRD 312566

$30.6M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Three Waters Financial

Ignacio, CO • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-06-11
  • CO RA
    APPROVED
    Since 2025-06-11

Branch Locations

Ignacio, CO • 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
Three Waters Financial Ignacio CO 01/2021 Present
H&R Block Durango CO 01/2021 Present
Southern Ute Indian Tribe Ignacio CO 12/1998 05/2017
Retired Ignacio CO 05/2017 12/2020
  • 01/2021 → Present
    Three Waters Financial
    Ignacio, CO
  • 01/2021 → Present
    H&R Block
    Durango, CO
  • 12/1998 → 05/2017
    Southern Ute Indian Tribe
    Ignacio, CO
  • 05/2017 → 12/2020
    Retired
    Ignacio, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-06
  • S65 Uniform Investment Adviser Law Examination
    2021-01-06

View on SEC IAPD

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