Michael J. Williams

ALTIUS FINANCIAL

WESTCLIFFE, CO

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CRD#: 1352136

Professional summary

Michael John Williams, CFP®, who also goes by Mike Williams, is a registered financial advisor currently at ALTIUS FINANCIAL, INC. located in Westcliffe, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Michael has worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Williams

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. I OWN RENTAL PROPERTIES WHICH I MANAGE 07/20/06 - MICHAEL J. WILLIAMS, CFP. 2. 12/21/09 1 RENTAL UNIT ONLY - RECENTLY SOLD BRIARWOOD, NEW ADDRESS 10A 1293 SUMMIT COUNTY RD, SILVERTHORNE COLORADO, REAL ESTATE RENTAL. 3. 08/03/2010- REAL ESTATE RENTAL, 2 RENTAL UNITS ONLY - 10A 1293 SUMMIT COUNTY RD, SILVERTHORNE, CO AND 8134 E PHILLIPS CR., CENTENNIAL, CO - NO RENTERS ARE CLIENTS OR ADVISORS, 2%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Williams'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: 1989

Experience

Current

March 30, 1999 - Present

ALTIUS FINANCIAL, INC.

RIA

CRD#: 113268

WESTCLIFFE, CO

Past

March 30, 1999 - December 31, 2002

ALTIUS FINANCIAL, INC.

RIA

CRD#: 113268

DENVER, CO

Past

January 1, 1999 - July 13, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

September 11, 1998 - July 13, 2011

LPL FINANCIAL LLC

CRD#: 6413

DENVER, CO

Past

August 21, 1985 - September 21, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 22, 1985 - May 21, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

ALTIUS FINANCIAL, INC.

CRD#: 113268 / SEC#: 801-117124

RIA

Registered Investment Advisory firm - (7/31/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/9/2019 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.

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
(3/30/1999)

IAR

Texas
(3/17/2022)

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: 8/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/21/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1995

General Securities Principal Examination

Current Firm

ALTIUS FINANCIAL, INC.

CRD#: 113268 / SEC#: 801-117124

RIA

Registered Investment Advisory firm - (7/31/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/9/2019 Terminated)

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Contact information

Main Address

1777 S. Harrison Street Suite 810, Denver, CO 80210

Mailing Address

Phone number

(303) 584-9271

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	543
AUM (Assets Under Management)	$ 168,051,834

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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Firm Stability Insights

Michael J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTIUS FINANCIAL, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALTIUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/1994

Series 7

Date: 8/17/1985

Series 6

Date: 3/21/1985

Series 24

Date: 3/2/1995

Current Firm

ALTIUS FINANCIAL, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTIUS FINANCIAL, INC.

TRUST BUT VERIFY

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