Lawrence R. Buchholz

SPECTRUM WEALTH MANAGEMENT

Meredith, CO

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CRD#: 2967657

Professional summary

Lawrence Richard Buchholz II, who also goes by Buck Buchholz, is a registered financial advisor currently at SPECTRUM WEALTH MANAGEMENT, LLC located in Meredith, Colorado.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Lawrence has worked at 6 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Buck Buchholz

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 Lawrence Richard Buchholz II'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

July 31, 2007 - Present

SPECTRUM WEALTH MANAGEMENT, LLC

RIA

CRD#: 144164

Meredith, CO

Past

September 5, 2006 - April 28, 2009

JOLLIFFE CAPITAL, INC.

RIA

CRD#: 140725

DENVER, CO

Past

June 28, 2004 - August 31, 2006

FALCO FINANCIAL SERVICES, INC.

RIA

CRD#: 112538

DENVER, CO

Past

June 3, 2004 - March 31, 2006

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

August 20, 2003 - May 24, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

DENVER, CO

Past

April 16, 2003 - May 24, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

January 4, 2002 - February 27, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DENVER, CO

Past

July 6, 2001 - February 27, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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
(7/31/2007)

IAR

Maryland
(6/19/2018)

IAR

Pennsylvania
(5/24/2018)

IAR

Texas
(9/4/2007)

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 66

Date: 7/20/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 8/16/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/3/2001

General Securities Representative Examination

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

CRD#: 144164 / SEC#:

Colorado

Registered Investment Advisory firm - (7/31/2007 Approved)

Maryland

Registered Investment Advisory firm - (6/15/2018 Approved)

New York

Registered Investment Advisory firm - (12/20/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/24/2018 Approved)

Texas

Registered Investment Advisory firm - (9/4/2007 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).

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Contact information

Main Address

Meredith, CO

Mailing Address

Phone number

(303) 757-5020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 80,000,000

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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Firm Stability Insights

Lawrence R. Buchholz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Richard Buchholz II's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPECTRUM WEALTH MANAGEMENT, LLC

JOLLIFFE CAPITAL, INC.

FALCO FINANCIAL SERVICES, INC.

AFS BROKERAGE, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2001

Series 31

Date: 8/16/2001

Series 7

Date: 7/3/2001

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPECTRUM WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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