AS
Ann M. Sandquist
ARAX ADVISORY PARTNERS
Silverthorne, CO
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CRD#: 2930681
AS
Professional summary
Ann Marie Sandquist, who also goes by Ann Sandquist, Ann Marie Sandquist, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Silverthorne, Colorado and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ann has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Sandquist | Ann Marie Sandquist
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) TOWN OF SILVERTHORNE - NOT INVESTMENT RELATED - 601 CENTER CIRCLE SILVERTHORNE, COLORADO 80498 - MUNICIPAL GOVERNMENT - MAYOR - START DATE 04/15/18 - 20 HOURS PER MONTH - NONE DURING SECURITIES TRADING HOURS - The Town of Silverthorne is a home rule community consisting of a council-manager form of government with power vested in an elected, seven-member Town Council. The Mayor and Town Council members act as the political head of the town. They are responsible for setting policy, approving the budget and formulating broad long-term policies that outline the Town's public function. Town Council determines the policies and laws necessary to regulate city growth and development. By adopting the town's annual budget, Town Council sets funding levels for all town services, programs and activities. The Town Council appoints a Town Manager to execute laws and administer Town Government. The policy-making and legislative powers are vested in the Town Council, consisting of the Mayor and six council members elected at large for four-year overlapping terms." (2) Schechter Private Capital, a division of Arax Advisory Partners - Yes investment related - 111 E. Merrill St. Suite 400, Birmingham, MI 48009 - RIA - Sr Advisor - 6/1/2025 - 160hrs/mo - 140hrs/mo - portfolio mgmt, retirement, estate, tax & charitable giving planning 3)Kingswood Capital Partners, LLC -investment-related 11440 W. Bernardo Ct. Ste.300, San Diego, CA 92127 -registered representative -began July 2022 -hrs per month 1 -hrs during trading hours 0-selling private placements, life insurance, variable universal life 4)Robert Schechter & Assoc. LLC dba Schechter Wealth Services; investment-related; 111 E. Merrill St. Suite 400, Birmingham, MI 48009; insurance business; insurance agent; started 6/2021 devote 5-10 hours per week during securities trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Ann Marie Sandquist'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®
NoneExperience
Current
June 18, 2025 - Present
ARAX ADVISORY PARTNERS
RIA
CRD#: 133535
Silverthorne, CO
Current
July 8, 2022 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127BD
CRD#: 288898
San Diego, CA
Past
January 14, 2022 - July 11, 2025
SCHECHTER INVESTMENT ADVISORS, LLC
RIA
CRD#: 169114
Silverthorne, CO
Past
February 13, 2020 - June 11, 2021
LIDO
RIA
CRD#: 269866
BOOMFIELD, CO
Past
July 24, 2006 - February 11, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Frisco, CO
Past
September 18, 1997 - February 11, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Frisco, 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
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | 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)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.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
Arizona(7/25/2022)
RR
Colorado(7/8/2022)
IAR
Colorado(6/18/2025)
RR
Florida(7/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | 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)Upgrade to AdvisorCheck Premium
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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
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.
