Paul W Rold II, CFP, CHFC, CLU | Financial Professional

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.

Paul W Rold II, CFP®, ChFC®, CLU® was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

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.

1. Independent Insurance Agent, Investment Related, Littleton, CO, Start Date 1984/1985, Lines of authority in Life, Variable Products, and Accident & Health, approximately 2 hours per month devoted to insurance activities, sell insurance products 2) ADMINISTRATOR OR EXECUTOR OF AN ESTATE OR TRUSTEE OF A TRUST FOR A NON-FAMILY MEMBER OR FAMILY MEMBER. 3) SIMONDAVIS BROKERAGE SERVICES, INC; GENERAL AGENCY, ACCIDENT, CATASTROPHIC ILLNESS; START DATE 3/9/2021; APPROX. $2,000 YEARLY COMPENSATION.

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®

CFP^®

Certified Financial Planner

Start date: 2001

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Past

December 8, 2024 - June 30, 2025

ARAX ADVISORY PARTNERS

RIA

CRD#: 133535

Littleton, CO

Past

June 11, 2021 - March 26, 2025

CEDRUS

RIA

CRD#: 312878

LITTLETON, CO

Past

December 13, 1999 - June 3, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LAKEWOOD, CO

Past

January 18, 1994 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD

CRD#: 4039

NEW YORK, NY

Past

January 18, 1994 - June 3, 2021

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

LAKEWOOD, CO

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".

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 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

IAR

Series 65

Date: 7/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 1/11/2024

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6TO

Date: 1/11/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/4/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/17/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/11/2024

General Securities Principal Examination

Current Firm

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 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).

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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

Paul W. Rold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CEDRUS

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/1999

Series 63

Date: 6/16/1994

Series 7TO

Date: 1/11/2024

Series 6TO

Date: 1/11/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/4/1998

Series 6

Date: 1/17/1994

Series 24

Date: 1/11/2024

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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