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JM

Justine M. Metz

Some features on this profile are disabled
CRD#: 4430029
JM

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.

Justine Marie Metz was a registered financial professional .

Justine is a previously registered financial professional and started their career in finance in 2005. Justine had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

April 13, 2015 - July 8, 2016

ACQUIOM FINANCIAL LLC

BD
CRD#: 170074
DENVER, CO
Past

October 23, 2009 - January 14, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 19, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

July 21, 2005 - April 13, 2009

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2005
General Securities Principal Examination

Current Firm

AF
ACQUIOM FINANCIAL LLC
ACQUIOM FINANCIAL LLC

CRD#: 170074 / SEC#: , 8-69408

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
950 17th Street Ste 1400, Denver, CO 80202
Mailing Address
950 17th Street Ste 1400, Denver, CO 80202
Phone number
(720) 279-0964
Established
Colorado since 10/04/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SRS ACQUIOM HOLDINGS LLCUNITHOLDER
AREND, SEAN KRISTIANCHIEF COMPLIANCE OFFICER6409880
KOENIG, WILLIAM PAULPRESIDENT6285415
RICHTER, TYLER KEVINPRINCIPAL FINANCIAL OFFICER6361430
YATES, MELINDA MARIEPRINCIPAL OPERATIONS OFFICER6785708

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.

Company Information

ACQUIOM FINANCIAL LLC

CRD#: 170074

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