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JC

James J. Collins

Some features on this profile are disabled
CRD#: 3134347
JC

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.

James Jay Collins, who also goes by Jim Collins, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Collins

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

April 7, 2016 - February 12, 2018

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

February 24, 2014 - March 30, 2016

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

October 28, 2010 - September 30, 2013

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

January 8, 2008 - March 22, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

July 2, 2007 - January 3, 2008

KBR CAPITAL MARKETS, LLC

BD
CRD#: 128800
PALO ALTO, CA
Past

November 16, 2006 - July 12, 2007

GCC-PROSPECT CORPORATION

BD
CRD#: 124728
FAIRFAX, VA
Past

October 3, 2005 - June 9, 2006

CION SECURITIES, LLC

BD
CRD#: 15487
SAN FRANCISCO, CA
Past

March 23, 2004 - September 1, 2005

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

March 10, 2003 - September 30, 2003

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA
CRD#: 109211
SHELTON, CT
Past

September 24, 2001 - September 30, 2003

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

January 30, 2001 - September 19, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 1, 1998 - November 13, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/16/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/1998
General Securities Representative Examination

Current Firm

AW
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
ARES WEALTH MANAGEMENT SOLUTIONS, LLC | REAL ESTATE INCOME SECURITIES, LLC | DIVIDEND CAPITAL SECURITIES, LLC | BLACK CREEK CAPITAL MARKETS, LLC

CRD#: 119546 / SEC#: , 8-65199

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite #2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite #2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Colorado since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOUBLE DIAMOND LLCSOLE MEMBER
ADAMSON, CHRISTINA CARSONDESIGNATED PRINCIPAL / CO-CEO5372006
GALLIGAN, CASEY DDESIGNATED PRINCIPAL / CO-CEO4022954
MAGNER, BRIANCHIEF COMPLIANCE OFFICER3069172
MARRONE, MICHAEL THOMASFINOP, PRINCIPAL FINANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER4859949

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.

Company Information

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

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