Aaron Spatz

SAGE ADVISORY SERVICES LTD CO

Denver, CO

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CRD#: 3073470

Professional summary

Aaron Spatz, who also goes by Aaron L Spatz, Aaron Lee Spatz, Aaron Lee John Spatz, is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Denver, Colorado.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Aaron has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron L Spatz | Aaron Lee Spatz | Aaron Lee John Spatz

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 Aaron Spatz'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®

None

Experience

Current

September 27, 2024 - Present

SAGE ADVISORY SERVICES LTD CO

RIA

CRD#: 106236

Denver, CO

Past

June 8, 2023 - June 25, 2024

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

CRD#: 143809

PORTLAND, ME

Past

February 22, 2022 - June 26, 2023

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

October 1, 2019 - May 6, 2021

VISION 4 FUND DISTRIBUTORS

CRD#: 298105

SCOTTSDALE, AZ

Past

December 16, 2013 - September 20, 2019

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

June 11, 2004 - December 19, 2005

OFI PRIVATE INVESTMENTS INC

RIA

CRD#: 107807

NEW YORK, NY

Past

March 2, 2004 - December 13, 2013

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

CENTENNIAL, CO

Past

January 14, 2003 - February 20, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 14, 2003 - February 20, 2004

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".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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
(9/27/2024)

IAR

Texas
(9/27/2024)

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: 9/27/2024

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2003

General Securities Representative Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

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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Advisor Monitoring

Firm Stability Insights

Aaron Spatz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Spatz's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

FORESIDE FINANCIAL SERVICES, LLC

VISION 4 FUND DISTRIBUTORS

COREBRIDGE CAPITAL SERVICES, INC.

OFI PRIVATE INVESTMENTS INC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2003

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

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