Roy D. Gibson

FINANCIAL SECURITY MANAGEMENT,

HIGHLANDS RANCH, CO

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CRD#: 2455517

Professional summary

Roy Daniel Gibson, CFP® is a registered financial advisor currently at FINANCIAL SECURITY MANAGEMENT, INC located in Highlands Ranch, Colorado.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Roy has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Long-term Care

Retirement Planning

Education Planning

Investment Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

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.

TAX PREPARATION, 50% OF TIME SPENT ON THIS ACTIVITY, COMPENSATED FOR THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Daniel Gibson'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: 1993

Experience

Current

January 1, 1999 - Present

FINANCIAL SECURITY MANAGEMENT, INC

RIA

CRD#: 116570

HIGHLANDS RANCH, CO

Past

August 11, 2017 - August 22, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

LAKEWOOD, CO

Past

July 1, 1999 - November 9, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

LAKEWOOD, CO

Past

September 12, 1994 - June 29, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 9, 1994 - August 29, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 9, 1994 - August 29, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

FINANCIAL SECURITY MANAGEMENT, INC

CRD#: 116570 / SEC#: 801-81072

RIA

Registered Investment Advisory firm - (3/16/2015 Approved)

California

Registered Investment Advisory firm - (4/17/2015 Terminated)

Colorado

Registered Investment Advisory firm - (4/2/2015 Terminated)

Florida

Registered Investment Advisory firm - (3/18/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (3/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2015 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
(1/1/1999)

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: 7/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/2012

General Securities Principal Examination

Current Firm

FINANCIAL SECURITY MANAGEMENT, INC

CRD#: 116570 / SEC#: 801-81072

RIA

Registered Investment Advisory firm - (3/16/2015 Approved)

California

Registered Investment Advisory firm - (4/17/2015 Terminated)

Colorado

Registered Investment Advisory firm - (4/2/2015 Terminated)

Florida

Registered Investment Advisory firm - (3/18/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (3/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2015 Terminated)

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Contact information

Main Address

2535 S Lewis Way Suite 201, Lakewood, CO 80227-6551

Mailing Address

Phone number

(303) 988-1411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	2,578
AUM (Assets Under Management)	$ 556,022,719

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Roy D. Gibson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Daniel Gibson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

OSAIC WEALTH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FINANCIAL SECURITY MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/28/1994

SIE

Date: 11/9/2017

Series 7

Date: 5/6/1994

Series 24

Date: 9/17/2012

Current Firm

FINANCIAL SECURITY MANAGEMENT, INC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL SECURITY MANAGEMENT, INC

TRUST BUT VERIFY

Contact information

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