James H. Saulnier
JIM SAULNIER & ASSOCIATES
Fort Collins, CO 80524
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CRD#: 3269945
Professional summary
James Henry Saulnier, CFP®, who also goes by Jim Saulnier, is a registered financial advisor currently at JIM SAULNIER & ASSOCIATES, LLC located in Fort Collins, 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 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Saulnier
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.
1) Cambridge Investment Research, Inc; Investment-related; Fort Collins, CO; Broker-Dealer; Started 9/2012; Registered Representative; 8 hours per month, all during trading hours.
2)JIM SAULNIER & ASSOCIATES LLC, 506 E MULBERY, FORT COLLINS, CO, 1/2000 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING.
3) Cambridge Investment Research Advisors; Investment-Related; Asset Management through RIA; Investment Adviser Representative; Started 9/2012; 48 hours per month; 40 hours during trading hours.
4) 430 WHEDBEE ST LLC; Not Investment-related; 506 EAST MULBERRY ST, FORT COLLINS, CO 80524 ; BEGAN 07/19/2010 ; Property Management; AS MANAGER ; DEVOTES 1 HR/MO ; 1 HOUR DURING TRADING.
5.LARIMER COUNTY RETIREMENT BOARD, 200 W OAK ST 4TH FL, FORT COLLINS, CO, `/2010 AS BOARD MEMBER. THE BOARD OVERSEES THE COUTY 401(a) RETIREMENT ACCOUNT AND ADDRESSES ANY ISSUES OR CONCERNS THAT ARISE. NIR - 2/M9O - 2/TRADING.
6.JIM SAULNIER & ASSOCIATES LLC, 506 E MULBERRY ST, FORT COLLINS, CO, 1/2015 AS OWNER/ADVISORY REP OF A RIA. INV REL - 16/MO - 10/TRADING.
7. JIM SAULNIER TAX PLANNING LLC, FORT COLLINS, CO, 01/2019. OWNER/PRINCIPAL, FOR TAX PREPARATION AND PLANNING. NIR-10/MO-10/TRADING.
8. James Saulnier is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Jim Saulnier & Associates, LLC always acts in the best interest of the client, including the sale of commissionable products to advisory clients. Clients always have the right to decide whether or not to utilize the services of any representative Jim Saulnier & Associates, LLC in such individual's outside capacities.
CRS (Client Relationship Summary) - RIA
Click below to view James Henry Saulnier'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®
CFP®
Start date: 2002
Experience
Current
January 23, 2015 - Present
JIM SAULNIER & ASSOCIATES, LLC
Office #1: 506 East Mulberry St, Fort Collins, CO 80524RIA
CRD#: 169889
Fort Collins, CO
Past
September 6, 2012 - January 22, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FORT COLLINS, CO
Past
September 6, 2012 - January 22, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FORT COLLINS, CO
Past
April 18, 2002 - September 10, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FORT COLLINS, CO
Past
August 1, 2001 - September 10, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FORT COLLINS, CO
Past
October 28, 1999 - August 3, 2001
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
JS
JIM SAULNIER & ASSOCIATES, LLC
JIM SAULNIER & ASSOCIATES, LLC
CRD#: 169889 / SEC#: 801-128717
RIA
Registered Investment Advisory firm - (9/11/2023 Approved)California
Registered Investment Advisory firm - (10/20/2023 Terminated)Colorado
Registered Investment Advisory firm - (9/22/2023 Terminated)Illinois
Registered Investment Advisory firm - (10/3/2023 Terminated)New York
Registered Investment Advisory firm - (9/20/2023 Terminated)North Carolina
Registered Investment Advisory firm - (9/28/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/20/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/20/2023 Terminated)Texas
Registered Investment Advisory firm - (9/20/2023 Terminated)Virginia
Registered Investment Advisory firm - (9/21/2023 Terminated)Washington
Registered Investment Advisory firm - (10/20/2023 Terminated)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(1/23/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
JS
JIM SAULNIER & ASSOCIATES, LLC
JIM SAULNIER & ASSOCIATES, LLC
CRD#: 169889 / SEC#: 801-128717
RIA
Registered Investment Advisory firm - (9/11/2023 Approved)California
Registered Investment Advisory firm - (10/20/2023 Terminated)Colorado
Registered Investment Advisory firm - (9/22/2023 Terminated)Illinois
Registered Investment Advisory firm - (10/3/2023 Terminated)New York
Registered Investment Advisory firm - (9/20/2023 Terminated)North Carolina
Registered Investment Advisory firm - (9/28/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/20/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/20/2023 Terminated)Texas
Registered Investment Advisory firm - (9/20/2023 Terminated)Virginia
Registered Investment Advisory firm - (9/21/2023 Terminated)Washington
Registered Investment Advisory firm - (10/20/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
506 East Mulberry St, Fort Collins, CO 80524
Mailing Address
Phone number
(970) 530-0556
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 180,005,463 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
