Keith S. Sprincz

SPRINCZ ADVISORY GROUP

Littleton, CO 80123

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CRD#: 1075215

Professional summary

Keith Steven Sprincz is a registered financial advisor currently at SPRINCZ ADVISORY GROUP, LLC located in Littleton, Colorado.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Keith has worked at 4 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)SPRINCZ & ASSOCIATES, INC; NONINVT REL; 9200 W. CROSS DRIVE STE 321, LITTLETON CO 80123; INSURANCE; PRESIDENT; START 1/1/1978; 50 HRS/MO; 50 HRS/MO DURING TRADING; INSURANCE BROKER/PRODUCER. 2) SPRINCZ FINANCIAL GROUP; INVT REL; 9200 W. CROSS DRIVE STE 321, LITTLETON CO 80123; OWNER; START 01/2014; DEVOTE ZERO HOURS; BUSINESS UMBRELLA CO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Steven Sprincz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2017 - Present

SPRINCZ ADVISORY GROUP, LLC

Office #1: 9200 W. Cross Drive Suite 321, Littleton, CO 80123

RIA

CRD#: 285738

Littleton, CO

Past

July 23, 2012 - January 27, 2017

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

LITTLETON, CO

Past

April 9, 2012 - September 19, 2012

DYNASTY CAPITAL MANAGEMENT, INC

RIA

CRD#: 152350

CENTENNIAL, CO

Past

January 28, 1983 - January 10, 1984

PRUCO SECURITIES, LLC.

CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/26/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 1/27/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPRINCZ ADVISORY GROUP, LLC

CRD#: 285738 / SEC#:

Colorado

Registered Investment Advisory firm - (1/26/2017 Approved)

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Contact information

Main Address

9200 W. Cross Drive Suite 321, Littleton, CO 80123

Mailing Address

Phone number

(303) 779-1188

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	197
AUM (Assets Under Management)	$ 15,924,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Keith S. Sprincz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Steven Sprincz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPRINCZ ADVISORY GROUP, LLC

GRADIENT ADVISORS, LLC

DYNASTY CAPITAL MANAGEMENT, INC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2012

Series 6

Date: 1/27/1983

Current Firm

SPRINCZ ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPRINCZ ADVISORY GROUP, LLC

TRUST BUT VERIFY

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