Robert M. Collins

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CRD#: 3160775

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.

Robert Michael Collins was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

July 17, 2012 - March 23, 2018

WAZEE STREET CAPITAL MANAGEMENT LLC

RIA

CRD#: 159165

GREENWOOD VILLAGE, CO

Past

June 27, 2002 - March 26, 2004

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

August 13, 1999 - June 11, 2002

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

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".

WAZEE STREET CAPITAL MANAGEMENT LLC

WAZEE STREET CAPITAL MANAGEMENT LLC | WAZEE STREET OPPORTUNITIES FUND LP | WAZEE STREET OPPORTUNITIES FUND II LP

CRD#: 159165 / SEC#: 801-121924

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Colorado

Registered Investment Advisory firm - (3/23/2018 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

State Security Law Exam

IAR

Series 65

Date: 8/2/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Current Firm

WAZEE STREET CAPITAL MANAGEMENT LLC

WAZEE STREET CAPITAL MANAGEMENT LLC | WAZEE STREET OPPORTUNITIES FUND LP | WAZEE STREET OPPORTUNITIES FUND II LP

CRD#: 159165 / SEC#: 801-121924

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Colorado

Registered Investment Advisory firm - (3/23/2018 Terminated)

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Contact information

Main Address

8101 E Prentice Ave Suite 610, Greenwood Village, CO 80111

Mailing Address

Phone number

(303) 645-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WAZEE STREET CAPITAL MANAGEMENT FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 187,845,943

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	6/29/2021
Colorado	ERA - Withdrawn	6/29/2021

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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Robert M. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WAZEE STREET CAPITAL MANAGEMENT LLC

COWEN AND COMPANY

ROBERTSON STEPHENS, INC.

Primary Firm SEC Registration

WAZEE STREET CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/2011

Series 63

Date: 3/15/2001

Series 7

Date: 8/13/1999

Current Firm

WAZEE STREET CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

WAZEE STREET CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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