Alan J. Gappinger

HFG ADVISORS

Greenwood Village, CO 80111

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CRD#: 1103355

Professional summary

Alan Joseph Gappinger, CFP®, who also goes by A J Gappinger, is a registered financial advisor currently at HFG ADVISORS located in Greenwood Village, Colorado.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Alan has worked at 12 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

A J Gappinger

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) HEARTLAND FINANCIAL GROUP INC. (DBA)HFG ADVISORS - ADVISOR FOR FINANCIAL PLANNING - OFFICE OF DAVID BROMEIER - AURORA, CO - SINCE 07/2002.--- 2)HFG COLORADO, INC - INSURANCE AGENT - INSURANCE AND FINANCIAL SERVICES - AURORA, CO - SINCE 07/1981.--- 3) GBG FINANCIAL - CONSULTANT / PARTNER - CONSULTING AND BUSINESS MANAGEMENT - AURORA, CO - SINCE 12/2009.--- 4) FINANCIAL LITERACY NETWORK, LLC - PROVIDES CONSULTING & MANAGEMENT FOR A NON-PROFIT ORGANIZAION - CONSULTANT / PARTNER - AURORA, CO - SINCE 11/2006.--- 5) HEARTLAND INSTITUTE OF FINANCIAL EDUCATION - CONSULTANT/INSTRUCTOR/MARKETING - FINANCIAL EDUCATION INSTRUCTION - AURORA, CO - SINCE 12/2003.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Joseph Gappinger's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

September 26, 2001 - Present

HFG ADVISORS

Office #1: 8301 East Prentice Ave. #312, Greenwood Village, CO 80111

RIA

CRD#: 113511

Greenwood Village, CO

Past

June 9, 2011 - March 30, 2012

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

AURORA, CO

Past

October 3, 2005 - June 27, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

AURORA, CO

Past

October 17, 2001 - October 6, 2005

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

AURORA, CO

Past

October 3, 2001 - October 6, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 4, 1999 - October 2, 2001

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 4, 1999 - October 2, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

June 23, 1999 - September 29, 1999

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

SOUTHFIELD, MI

Past

January 12, 1999 - June 25, 1999

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 8, 1998 - January 18, 1999

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

July 8, 1998 - January 18, 1999

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

June 21, 1996 - July 7, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 18, 1993 - June 12, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 15, 1983 - September 9, 1993

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

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
(9/26/2001)

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

Series 63

Date: 3/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1999

General Securities Principal Examination

Current Firm

HFG ADVISORS

COLORADO COMPREHENSIVE WEALTH MANAGEMENT | HFG COLORADO, INC. | HFG ADVISORS | HEARTLAND FINANCIAL GROUP, LTD. | HEARTLAND FINANCIAL CONSULTANTS

CRD#: 113511 / SEC#: 801-135030

Colorado

Registered Investment Advisory firm - (9/26/2001 Approved)

Florida

Registered Investment Advisory firm - (11/14/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/22/2013 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

8301 East Prentice Ave. #312, Greenwood Village, CO 80111

Mailing Address

Phone number

(303) 369-3800

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A/2B (11/24/2025)

Regulatory assets under management

Total Number of Accounts	554
AUM (Assets Under Management)	$ 108,767,232

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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Advisor Monitoring

Firm Stability Insights

Alan J. Gappinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Joseph Gappinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES AMERICA, INC.

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

HANTZ FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

CENTURY INVESTORS OF AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1984

Series 7

Date: 9/17/1983

Series 6

Date: 4/14/1983

Series 24

Date: 2/23/1999

Current Firm

HFG ADVISORS

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HFG ADVISORS

TRUST BUT VERIFY

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