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FM

Fernando J. Munoz

ARES WEALTH MANAGEMENT SOLUTIONS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2121283
FM

Professional summary

Fernando Joseph Munoz, CIMA® is a registered financial professional currently at ARES WEALTH MANAGEMENT SOLUTIONS, LLC located in Denver, Colorado.

Fernando is registered as a RR (Registered Representative) and started their career in finance in 1991. Fernando has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Fernando Joseph Munoz'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

July 21, 2022 - Present

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

Office #1: 1200 17th Street Suite #2900, Denver, CO 80202
BD
CRD#: 119546
Denver, CO
Past

December 22, 2021 - April 18, 2022

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

BD
CRD#: 313390
NEW YORK, NY
Past

March 17, 2021 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
NEW YORK, NY
Past

October 10, 2019 - December 22, 2021

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

January 29, 2018 - December 31, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

June 2, 2016 - January 11, 2018

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA
CRD#: 105780
MIAMI, FL
Past

May 20, 2016 - January 11, 2018

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

January 29, 2016 - May 6, 2016

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

December 16, 2015 - May 6, 2016

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

March 9, 2010 - July 15, 2015

DAVIS DISTRIBUTORS, LLC

BD
CRD#: 7975
TUCSON, AZ
Past

June 1, 2009 - March 31, 2010

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - March 31, 2010

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 27, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CORAL GABLES, FL
Past

January 2, 1996 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 14, 1991 - February 29, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(7/21/2022)
RR
Florida
(7/21/2022)
RR
Georgia
(7/21/2022)
RR
Puerto Rico
(7/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/15/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/25/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AW
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
ARES WEALTH MANAGEMENT SOLUTIONS, LLC | REAL ESTATE INCOME SECURITIES, LLC | DIVIDEND CAPITAL SECURITIES, LLC | BLACK CREEK CAPITAL MARKETS, LLC

CRD#: 119546 / SEC#: , 8-65199

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite #2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite #2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Colorado since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOUBLE DIAMOND LLCSOLE MEMBER
ADAMSON, CHRISTINA CARSONDESIGNATED PRINCIPAL / CO-CEO5372006
GALLIGAN, CASEY DDESIGNATED PRINCIPAL / CO-CEO4022954
MAGNER, BRIANCHIEF COMPLIANCE OFFICER3069172
MARRONE, MICHAEL THOMASFINOP, PRINCIPAL FINANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER4859949

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.

Company Information

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546Denver, CO 80202

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