James J. Etten

COPPER RIVER ADVISORS LLC

Englewood, CO 80112

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CRD#: 3182628

Professional summary

James John Etten is a registered financial advisor currently at COPPER RIVER ADVISORS LLC located in Englewood, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Copper River Software; Partner; Non Investment Related; Location: 383 INVERNESS PKWY SUITE 120 ENGLEWOOD CO 80112; Description: Copper River Software is a SaaS fintech that develops fixed income trading systems for some of the worlds largest financial institutions as well as fortune 500 companies.; Start date: 2024-09-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 0; Contact person at the organization: james john etten; Website address for the organization: www.crawealth.com.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Etten's 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

February 12, 2020 - Present

COPPER RIVER ADVISORS LLC

Office #1: 383 Inverness Parkway Suite 120, Englewood, CO 80112

RIA

CRD#: 173394

Englewood, CO

Past

January 26, 2015 - December 31, 2019

COPPER RIVER ADVISORS LLC

RIA

CRD#: 173394

ENGLEWOOD, CO

Past

December 13, 2010 - November 11, 2014

INSTITUTIONAL CASH DISTRIBUTORS, LLC

CRD#: 149635

NEW YORK, NY

Past

July 8, 2005 - September 24, 2009

CACHEMATRIX BROKER/DEALER LLC

CRD#: 127226

DENVER, CO

Past

January 26, 2001 - June 30, 2005

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

February 19, 1999 - January 26, 2001

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

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
(2/12/2020)

IAR

New York
(8/16/2021)

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: 1/8/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/17/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COPPER RIVER ADVISORS LLC

COPPER RIVER ADVISORS LLC | ETTEN, JIM

CRD#: 173394 / SEC#: 801-114280

RIA

Registered Investment Advisory firm - (3/4/2020 Terminated)

Colorado

Registered Investment Advisory firm - (2/12/2020 Approved)

New York

Registered Investment Advisory firm - (8/16/2021 Approved)

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

383 Inverness Parkway Suite 120, Englewood, CO 80112

Mailing Address

Phone number

(303) 513-0705

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	205
AUM (Assets Under Management)	$ 88,039,899

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

James J. Etten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Etten's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPER RIVER ADVISORS LLC

INSTITUTIONAL CASH DISTRIBUTORS, LLC

CACHEMATRIX BROKER/DEALER LLC

BACAP DISTRIBUTORS, LLC

STEPHENS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2015

Series 63

Date: 5/11/1999

SIE

Date: 11/11/2014

Series 7

Date: 1/29/2001

Series 6

Date: 2/17/1999

Current Firm

COPPER RIVER ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COPPER RIVER ADVISORS LLC

TRUST BUT VERIFY

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