James A. Brauer

IMA WEALTH

DENVER, CO 80202

Some features on this profile are disabled

CRD#: 3127129

Professional summary

James Alan Brauer, CFP®, CIMA®, who also goes by James Alan Brauer, Jim Brauer, James Brauer, is a registered financial advisor currently at IMA WEALTH located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Alan Brauer | Jim Brauer | James Brauer

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 James Alan Brauer'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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 2, 2025 - Present

IMA WEALTH

Office #1: 1705 17th Street Suite 100, Denver, CO 80202

RIA

CRD#: 112091

DENVER, CO

Past

July 17, 2023 - January 3, 2025

SYNTRINSIC LLC

RIA

CRD#: 327054

DENVER, CO

Past

May 22, 2020 - December 31, 2023

SYNTRINSIC INVESTMENT COUNSEL, LLC.

RIA

CRD#: 147978

Denver, CO

Past

October 25, 2019 - January 7, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

October 17, 2019 - January 7, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

May 19, 2014 - January 25, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

April 8, 2014 - January 25, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

February 8, 2006 - October 29, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

January 24, 2002 - October 29, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

October 7, 1998 - May 9, 2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

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".

IMA WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA

Registered Investment Advisory firm - SEC (2/5/2014 Approved)

Terminated by SEC on 02/16/2024

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
(1/2/2025)

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: 2/7/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2009

General Securities Principal Examination

Current Firm

IMA WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA

Registered Investment Advisory firm - SEC (2/5/2014 Approved)

Terminated by SEC on 02/16/2024

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1705 17th Street Suite 100, Denver, CO 80202

Mailing Address

430 E Douglas Ave Suite 400, Wichita, KS 67202

Phone number

(316) 266-6574

Established

Kansas since 06/23/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IMAAS PART 2A INVESTMENT ADV SERVICES (5/1/2025)

SYNTRINSIC (3/31/2025)

IMAAS PART 2A RETIREMENT PLAN SERVICES (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC.	SHAREHOLDER
DAVIS, PATRICIA LYNN	SVP, CCO, DIRECTOR	5613123
HOLT, RICHARD WILLIAM	PRESIDENT, DIRECTOR, CIO, FINOP	2778485
PAULY, ERIC MICHAEL	GENERAL COUNSEL/SECRETARY	7719772
POOL, SUSAN LOUISE	SENIOR VICE PRESIDENT/DIRECTOR	3178683

Regulatory assets under management

Total Number of Accounts	1,514
AUM (Assets Under Management)	$ 3,158,410,252

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Brauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Brauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNTRINSIC LLC

SYNTRINSIC INVESTMENT COUNSEL, LLC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

IMA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2006

Series 63

Date: 5/3/2002

SIE

Date: 1/25/2018

Series 7

Date: 10/6/2005

Series 6

Date: 10/2/1998

Series 24

Date: 3/13/2009

Current Firm

IMA WEALTH

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

IMA WEALTH

TRUST BUT VERIFY

Similar Advisors