James W. Collier

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CRD#: 1254715

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Ward Collier was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 7, 2015 - November 1, 2017

COLLIER FINANCIAL, INC

RIA

CRD#: 175207

DENVER, CO

Past

January 1, 1999 - March 4, 2011

COLLIER ASSOCIATES, FINANCIAL ADVISORS, INC.

RIA

CRD#: 114413

LITTLETON, CO

Past

January 1, 1999 - September 7, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

July 5, 1995 - November 7, 2017

LPL FINANCIAL LLC

CRD#: 6413

DENVER, CO

Past

May 1, 1984 - July 17, 1995

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COLLIER FINANCIAL, INC

COLLIER FINANCIAL, INC | COLLIER RETIREMENT BY DESIGN

CRD#: 175207 / SEC#: 801-121627

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Colorado

Registered Investment Advisory firm - (7/19/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2021 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/22/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1995

General Securities Principal Examination

Current Firm

COLLIER FINANCIAL, INC

COLLIER FINANCIAL, INC | COLLIER RETIREMENT BY DESIGN

CRD#: 175207 / SEC#: 801-121627

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Colorado

Registered Investment Advisory firm - (7/19/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2021 Terminated)

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Contact information

Main Address

8055 E. Tufts Avenue Suite 650, Denver, CO 80237

Mailing Address

Phone number

(303) 741-5040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	432
AUM (Assets Under Management)	$ 140,822,283

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

James W. Collier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLLIER ASSOCIATES, FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

Primary Firm SEC Registration

COLLIER FINANCIAL, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/1995

SIE

Date: 11/7/2017

Series 7

Date: 8/16/1995

Series 22

Date: 5/22/1984

Series 6

Date: 4/30/1984

Series 24

Date: 10/2/1995

Current Firm

COLLIER FINANCIAL, INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLIER FINANCIAL, INC

TRUST BUT VERIFY

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