John C. Panter

PLAN TO INVEST CAPITAL MANAGEMENT

Denver, CO 80206

Some features on this profile are disabled

CRD#: 2857712

Professional summary

John Charles Panter is a registered financial advisor currently at PLAN TO INVEST CAPITAL MANAGEMENT, INC. located in Denver, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Panter's 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®

None

Experience

Current

June 15, 2010 - Present

PLAN TO INVEST CAPITAL MANAGEMENT, INC.

Office #1: 100 Fillmore Street Suite 500, Denver, CO 80206

RIA

CRD#: 153726

Denver, CO

Past

June 28, 2010 - February 27, 2019

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

August 2, 2004 - June 7, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

DENVER, CO

Past

July 9, 2004 - June 7, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DENVER, CO

Past

September 12, 2002 - July 12, 2004

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

July 22, 2002 - September 1, 2004

CAPITAL INVESTMENT MANAGEMENT

RIA

CRD#: 109924

DENVER, CO

Past

November 20, 1998 - September 6, 2002

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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
(6/15/2010)

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: 10/27/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/15/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/17/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PLAN TO INVEST CAPITAL MANAGEMENT, INC.

CRD#: 153726 / SEC#: 801-71427

RIA

Registered Investment Advisory firm - (6/22/2012 Terminated)

Colorado

Registered Investment Advisory firm - (6/14/2012 Approved)

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).

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Fillmore Street Suite 500, Denver, CO 80206

Mailing Address

Phone number

(303) 221-0949

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	134
AUM (Assets Under Management)	$ 16,732,101

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John C. Panter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Panter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLAN TO INVEST CAPITAL MANAGEMENT, INC.

CIM SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SECURITIES SERVICE NETWORK, LLC

CAPITAL INVESTMENT MANAGEMENT

SECURITIES AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/2003

Series 65

Date: 5/15/2002

SIE

Date: 10/1/2018

Series 6

Date: 11/17/1998

Current Firm

PLAN TO INVEST CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLAN TO INVEST CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors