Charles Tyler Brocato

Current Employers

Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2024-02-13
CO	RA	APPROVED	2021-01-06

GA RA
APPROVED

Since 2024-02-13
CO RA
APPROVED

Since 2021-01-06

Branch Locations

Fortson, GA • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond Yes
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Kestra Financial Services, Inc.	Austin	TX	04/2016	03/2019
Bok Financial Asset Management, Inc.	Houston	TX	03/2019	12/2020
Bok Financial Securities, Inc.	Denver	CO	04/2019	12/2020
Bokf, Na	Denver	CO	04/2019	12/2020
Nfp Retirement, Inc.	Aliso Viejo	CA	01/2021	10/2025
Wealthspire Retirement Advisory	Aliso Viejo	CA	10/2025	Present

04/2016 → 03/2019

Kestra Financial Services, Inc.

Austin, TX
03/2019 → 12/2020

Bok Financial Asset Management, Inc.

Houston, TX
04/2019 → 12/2020

Bok Financial Securities, Inc.

Denver, CO
04/2019 → 12/2020

Bokf, Na

Denver, CO
01/2021 → 10/2025

Nfp Retirement, Inc.

Aliso Viejo, CA
10/2025 → Present

Wealthspire Retirement Advisory

Aliso Viejo, CA

Previous Registrations

2019-03-29 → 2021-01-04

Bok Financial Asset Management, Inc.

Denver, CO
2016-04-19 → 2019-04-01

Kestra Advisory Services, Llc

Denver, CO
2015-02-02 → 2016-09-22

Kestra Investment Services, Llc

Denver, CO
2011-03-02 → 2013-08-08

Van Gilder Retirement Solutions, Llc

Denver, CO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-27

S66 Uniform Combined State Law Examination

2010-06-27

Other Names

Tyler Brocato

View on SEC IAPD