David Rick has been an investment adviser representative at Red Mountain Financial Partners since September 2021, and is not listed among the firm’s executive officers or direct owners.
Red Mountain Financial Partners, LLC is a Durango, CO firm with $226M under management, 314 clients and 3 advisers in one office, as of its March 2026 filing.
David Rick’s longest registration was 18 years at LPL Financial LLC (2003–2022). Before joining Red Mountain Financial Partners in 2021, David Rick was registered through LPL Financial LLC and Securities America Advisors Inc.
- – present · 5 yearsDurango, CO · Adviser representative · Firm CRD 174672
- LPL Financial LLC– · 18 yearsDurango, CO · Adviser representative · Firm CRD 6413
- Securities America Advisors Inc– · 2 yearsRock Island, IL · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
David Rick is registered as an investment adviser representative in 5 states. The first approvals date from September 2021; the most recent is Arizona, in April 2022.
- ArizonaSince 1 April 2022
- CaliforniaSince 22 March 2022
- ColoradoSince 28 September 2021
- New MexicoSince 23 March 2022
- TexasSince 28 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 22 October 2008 |
| Series 66 | Uniform Combined State Law Examination | 24 June 1999 |
| Series 7 | General Securities Representative Examination | 4 June 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Lee Rick
- CRD
- 3237358
- Firm
- Red Mountain Financial Partners · CRD 174672
- Office
- 555 RIVERGATE LANE - SUITE B1-107, Durango, CO 81301
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Rick work?
David Rick is an investment adviser representative registered through Red Mountain Financial Partners, LLC since September 2021, and is not listed among the firm’s executive officers or direct owners.
Is David Rick a financial advisor?
Yes. David Rick has a current investment-adviser registration in Arizona, California, Colorado, New Mexico and Texas, through Red Mountain Financial Partners since September 2021.
How many years of experience does David Rick have?
David Rick has 27 years in the financial industry, since July 1999, across 3 adviser firms.
What exams has David Rick passed?
David Rick has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in June 1999. FINRA credited David Rick with the SIE, which began in October 2018.
Where did David Rick work before Red Mountain Financial Partners?
Before Red Mountain Financial Partners, David Rick was registered through Securities America Advisors Inc, November 2001 to November 2003.
Where is David Rick based?
David Rick’s registered office is in Durango, CO.
Is David Rick registered with FINRA?
Yes. David Rick has a current broker registration, under CRD 3237358.
Source: FINRA BrokerCheck
How can I verify David Rick’s record?
Search CRD 3237358 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Rick’s full registration record.