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Current Employers
Red Mountain Financial Partners

555 Rivergate Lane - Suite B1-107, Durango, CO 81301 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2022-04-01
NM RA APPROVED 2022-03-23
CA RA APPROVED 2022-03-22
CO RA APPROVED 2021-09-28
TX RA APPROVED 2021-09-28
  • AZ RA
    APPROVED
    Since 2022-04-01
  • NM RA
    APPROVED
    Since 2022-03-23
  • CA RA
    APPROVED
    Since 2022-03-22
  • CO RA
    APPROVED
    Since 2021-09-28
  • TX RA
    APPROVED
    Since 2021-09-28

Branch Locations

555 Rivergate Lane - Suite B1-107, Durango, CO 81301 • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Durango CO 11/2003 Present
Red Mountain Financial Partners Durango CO 09/2021 Present
Previous Registrations
  • 2001-11-13 → 2003-11-24
    Securities America Advisors, Inc.
    Rock Island, IL
Other Businesses

1) 9/20/2021 - Hawks And Eagles - Investment Related - 555 Rivergate Lane, Suite B1-107 - Real Estate Rental - Started 08/29/2021 - 1 Hour Per Month During Securities Trading. 2) 9/30/2021 - Red Mountain Financial Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 09/22/2021 - 12 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Red Mountain Financial Partners, an independent investment advisor firm. I started this business activity in 09/2021. I expect to spend approximately 12 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-06-24
  • S66 Uniform Combined State Law Examination
    1999-06-24
Designations
Other Names
  • David Lee Rick

View on SEC IAPD

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