Traci L. Sarmiento

GILL CAPITAL PARTNERS

DENVER, CO 80237

Some features on this profile are disabled

CRD#: 3187072

Professional summary

Traci Lynn Sarmiento, who also goes by Traci Lynn Horan, is a registered financial advisor currently at GILL CAPITAL PARTNERS, LLC located in Denver, Colorado.

Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Traci has worked at 11 firms and has passed the Series 63, Series 66, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Traci Lynn Horan

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 Traci Lynn Sarmiento's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Traci Lynn Sarmiento'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®

None

Experience

Current

March 20, 2019 - Present

GILL CAPITAL PARTNERS, LLC

Office #1: 4582 S. Ulster St. Suite 1400, Denver, CO 80237Office #2: 4582 S. Ulster St. Suite 1400, Denver, CO 80237

RIA

CRD#: 14559

DENVER, CO

Current

March 20, 2019 - Present

GILL CAPITAL PARTNERS, LLC

Office #1: 4582 S Ulster Street Suite 1400, Denver, CO 80237Office #2: 4582 S. Ulster St. Suite 1400, Denver, CO 80237

RIA

CRD#: 14559

DENVER, CO

Past

January 1, 2016 - December 31, 2019

CHERRY STREET PARTNERS

RIA

CRD#: 111711

DENVER, CO

Past

October 30, 2014 - March 14, 2019

APW CAPITAL, INC.

CRD#: 43814

DENVER, CO

Past

December 16, 2013 - October 13, 2014

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

December 16, 2013 - October 13, 2014

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

November 12, 2007 - November 21, 2013

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DENVER, CO

Past

November 12, 2007 - November 21, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DENVER, CO

Past

January 3, 2007 - November 13, 2007

CAPWEST SECURITIES, INC.

RIA

CRD#: 30002

LAKEWOOD, CO

Past

January 3, 2007 - November 13, 2007

CAPWEST SECURITIES, INC.

CRD#: 30002

GREELEY, CO

Past

August 8, 2006 - February 14, 2007

COBIZ WEALTH

RIA

CRD#: 125910

DENVER, CO

Past

May 16, 2002 - June 6, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

DENVER, CO

Past

April 5, 2002 - June 6, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 31, 2002 - March 15, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

December 22, 1999 - November 1, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

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

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/20/2019)

IAR

California
(3/20/2019)

Colorado
(3/20/2019)

IAR

Colorado
(3/20/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/26/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/18/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/25/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

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

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

4582 S Ulster Street Suite 1400, Denver, CO 80237

Mailing Address

4582 S Ulster Street Suite 1400, Denver, CO 80237

Phone number

(303) 296-6260

Established

Colorado since 01/01/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GCP ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OBW, LLC	MEMBER
O'BRIEN CAPITAL MANAGEMENT, INC.	ELECTED MANAGER
O'BRIEN, JAMES ROBERT	MANAGER	1594632
ROJAS, LESLIE SQUIRES	CHIEF COMPLIANCE OFFICER, FINOP	4046779
WINSLOW, JOHN SHERWOOD	MANAGER	3084607

Regulatory assets under management

Total Number of Accounts	1,594
AUM (Assets Under Management)	$ 790,007,641

Disclosures

Regulatory Event

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

Traci L. Sarmiento

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Traci Lynn Sarmiento's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Traci Lynn Sarmiento's CRS (Customer Relationship Summary).

Certified licenses

Experience

GILL CAPITAL PARTNERS, LLC

CHERRY STREET PARTNERS

APW CAPITAL, INC.

CURIAN CAPITAL, LLC

CURIAN CLEARING, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CAPWEST SECURITIES, INC.

CAPWEST SECURITIES, INC.

COBIZ WEALTH

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

GILL CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/2004

Series 66

Date: 5/15/2002

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/18/2008

Series 7

Date: 12/21/1999

Series 53

Date: 6/25/2007

Series 24

Date: 1/30/2007

FINRA

Current Firm

GILL CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GILL CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors