Janet Lenore Mccoy | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Janet Lenore Mccoy, who also goes by Janet L. Mccoy, Janet Mccoy, was a registered financial professional .

Janet is a previously registered financial professional and started their career in finance in 2000. Janet had worked at 7 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Janet L. Mccoy | Janet Mccoy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 10, 2015 - January 8, 2019

ARAX ADVISORY PARTNERS

RIA

CRD#: 133535

DENVER, CO

Past

January 4, 2005 - February 10, 2015

GENEOS WEALTH MANAGEMENT, INC.

BD

CRD#: 120894

DENVER, CO

Past

October 4, 2004 - February 9, 2015

SEAL FINANCIAL SERVICES, INC.

RIA

CRD#: 113945

DENVER, CO

Past

May 6, 2004 - December 31, 2004

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

SAN DIEGO, CA

Past

April 29, 2004 - September 24, 2004

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

DENVER, CO

Past

October 29, 2002 - March 10, 2004

CHERRY HILLS INVESTMENT ADVISORS, LLC

RIA

CRD#: 114733

LITTLETON, CO

Past

January 6, 2001 - September 23, 2004

JLM FINANCIAL SERVICES, LLC

RIA

CRD#: 113234

LITTLETON, CO

Past

January 6, 2000 - October 9, 2000

D.E. FREY & COMPANY, INC.

BD

CRD#: 23595

DENVER, 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

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)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

RR

SIE

Date: 2/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/5/2000

General Securities Representative Examination

Current Firm

AA

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)

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

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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Janet L. Mccoy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

SEAL FINANCIAL SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

CHERRY HILLS INVESTMENT ADVISORS, LLC

JLM FINANCIAL SERVICES, LLC

D.E. FREY & COMPANY, INC.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

SIE

Date: 2/10/2015

Series 7

Date: 1/5/2000

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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