Jeffery Frands Jorgensen | Financial Professional

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.

Jeffery Frands Jorgensen, who also goes by Jeffrey F Jorgensen, Jeffrey Frands Jorgensen, was a registered financial professional .

Jeffery is a previously registered financial professional and started their career in finance in 2003. Jeffery had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Jeffrey F Jorgensen | Jeffrey Frands Jorgensen

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

September 2, 2010 - December 31, 2017

THE INSTITUTE

RIA

CRD#: 127207

DENVER, CO

Past

November 8, 2004 - July 27, 2007

BOFA DISTRIBUTORS, INC.

BD

CRD#: 30683

AURORA, CO

Past

May 30, 2003 - November 24, 2004

NYLIFE SECURITIES LLC

BD

CRD#: 5167

NEW YORK, 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".

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/1/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/6/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 5/28/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

5

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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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Firm Stability Insights

Jeffery F. Jorgensen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE INSTITUTE

BOFA DISTRIBUTORS, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2010

Series 63

Date: 10/6/2003

Series 6

Date: 5/28/2003

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

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