Scott A. Spangler

HIGH COUNTRY CAPITAL MANAGEMENT

Denver, CO

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CRD#: 3071280

Professional summary

Scott Alan Spangler is a registered financial advisor currently at HIGH COUNTRY CAPITAL MANAGEMENT located in Denver, Colorado.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

1. SILVER HILLS PARTNERS, LTD; Insurance BROKER at 1931 HUDSON ST. DENVER, CO 80220; 10 HOURS PER MONTH; START 04/2011; Licensed insurance broker.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Alan Spangler's CRS (Customer Relationship Summary).

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

July 10, 1998 - November 8, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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
(11/30/2017)

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: 5/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/2002

General Securities Principal Examination

Current Firm

HIGH COUNTRY CAPITAL MANAGEMENT

HIGH COUNTRY CAPITAL MANAGEMENT | MCKENNA & ASSOCIATES LLC | HIGH COUNTRY CAPITAL MANAGEMENT INC

CRD#: 106151 / SEC#: 801-63035

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Colorado

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

Texas

Registered Investment Advisory firm - (8/25/2014 Conditional Restricted)

Wyoming

Registered Investment Advisory firm - (7/3/2023 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

521 E. Main Street, Montrose, CO 81401-3931

Mailing Address

Phone number

(970) 249-3499

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	353
AUM (Assets Under Management)	$ 82,381,661

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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Scott A. Spangler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Alan Spangler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARDEN CAPITAL LLC

DENVER MONEY MANAGER, LLC

ASCENT CAPITAL MANAGEMENT

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2016

Series 63

Date: 7/17/1998

Series 7

Date: 7/9/1998

Series 24

Date: 12/17/2002

Current Firm

HIGH COUNTRY CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HIGH COUNTRY CAPITAL MANAGEMENT

TRUST BUT VERIFY

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