James J. Person

SYNERGY FINANCIAL PARTNERS

DENVER, CO 80209

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CRD#: 360816

Professional summary

James Jay Person is a registered financial advisor currently at SYNERGY FINANCIAL PARTNERS, LLC located in Denver, Colorado and LPL FINANCIAL LLC located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 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.

1. 02/14/2018 - SYNERGY FINANCIAL PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/2007 - OFFERING FIXED INSURANCE PRODUCTS. 2. 02/14/2018 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 1 Hour Per Month - Life insurance and fixed annuities. 3. 11/29/2019 - Synergy Financial Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/15/2019 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Synergy Financial Partners, LLC, an independent investment advisor firm. I started this business activity in 10/2019. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jay Person'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

October 7, 2019 - Present

SYNERGY FINANCIAL PARTNERS, LLC

Office #1: 3773 Cherry Creek North Drive Suite 780, Denver, CO 80209

RIA

CRD#: 305287

DENVER, CO

Current

February 14, 2018 - Present

LPL FINANCIAL LLC

Office #1: 3773 Cherry Creek North Drive Suite 780, Denver, CO 80209

RIA

CRD#: 6413

Denver, CO

Past

February 14, 2018 - November 26, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

February 17, 2009 - February 14, 2018

SII INVESTMENTS, INC.

RIA

CRD#: 2225

DENVER, CO

Past

February 17, 2009 - February 14, 2018

SII INVESTMENTS, INC.

CRD#: 2225

DENVER, CO

Past

August 1, 2007 - February 23, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DENVER, CO

Past

August 1, 2007 - February 23, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

Past

February 3, 2004 - August 1, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

DENVER, CO

Past

February 3, 2004 - August 1, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

DENVER, CO

Past

January 1, 1999 - February 3, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

DENVER, CO

Past

September 28, 1990 - February 3, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 14, 1972 - October 10, 1990

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

November 14, 1972 - January 25, 1991

ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 43

WORCESTER, MA

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".

SYNERGY FINANCIAL PARTNERS, LLC

CRD#: 305287 / SEC#: 801-117436

RIA

Registered Investment Advisory firm - (10/4/2019 Approved)

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

Arizona
(4/3/2025)

Colorado
(2/14/2018)

IAR

Colorado
(10/7/2019)

Florida
(1/26/2022)

Nebraska
(1/6/2025)

New Mexico
(2/14/2018)

Virginia
(10/3/2024)

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

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/8/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SYNERGY FINANCIAL PARTNERS, LLC

CRD#: 305287 / SEC#: 801-117436

RIA

Registered Investment Advisory firm - (10/4/2019 Approved)

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Contact information

Main Address

3773 Cherry Creek North Drive Suite 780, Denver, CO 80209

Mailing Address

Phone number

(303) 399-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYNERGY FINANCIAL PARTNERS, LLC - DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,915
AUM (Assets Under Management)	$ 280,009,351

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

James J. Person

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jay Person's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

VERAVEST INVESTMENTS, INC.

ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

SYNERGY FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 3/18/1997

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/8/1972

Series 24

Date: 5/23/2001

FINRA

Current Firm

SYNERGY FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYNERGY FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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