AM
Andy D. Mcclaflin
ASPEN WEALTH STRATEGIES
Arvada, CO 80002
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CRD#: 4670759
AM
Professional summary
Andy Don Mcclaflin is a registered financial advisor currently at ASPEN WEALTH STRATEGIES, LLC located in Arvada, Colorado.
Andy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Andy has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 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. Name of Business : McClaflin Real Estate LLC - Arvada, CO - Nature of the Business: Business Owner - Position/Title: Officer - CEO - Investment Related: Yes - Start Date: 12/2017 - Hours per month devoted to this business: 5 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Manage Commercial Real Estate 2. Name of Business : M & M Boat LLC Address: Arvada, CO Nature of the Business: Other (unpaid) Position/Title: Other (unpaid) Investment Related:No Start Date: 01/18/2018 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Paying the annual registration. 3. Name of Business : RAR Ltd. - Address: Arvada, CO - Nature of the Business: Business Owner - Position/Title: Officer - CEO - Investment Related: No Start Date: 09/25/2018 - Hours per month devoted to this business: 5 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Oversee the day to day operations of the company 4. Aspen Wealth Planning LLC - Investment-Related - 8333 Ralston Road Suite 2, Arvada, CO 80002 - Mentor & Consultant - 06/2024 - 10 hours per month. 5. Standard Equine LLC; Not Investment Related; 833 Ralston Road Ste 2, Arvada, CO 80002; Equine training, transport, buying and selling; 100% Owner and President; Start Date: 6/12/2024; Hours per Month: 5; Duties: Running the day to day operations
CRS (Client Relationship Summary) - RIA
Click below to view Andy Don Mcclaflin'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®
NoneExperience
Current
September 21, 2020 - Present
ASPEN WEALTH STRATEGIES, LLC
Office #1: 8333 Ralston Road, Suite 2, Arvada, CO 80002RIA
CRD#: 307424
Arvada, CO
Past
July 30, 2013 - September 23, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ARVADA, CO
Past
July 29, 2013 - September 23, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ARVADA, CO
Past
June 5, 2007 - July 30, 2013
EDWARD JONES
RIA
CRD#: 250
ARVADA, CO
Past
August 5, 2003 - July 30, 2013
EDWARD JONES
BD
CRD#: 250
ARVADA, CO
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".
ASPEN WEALTH STRATEGIES, LLC
ASPEN WEALTH PLANNING | ASPEN WEALTH STRATEGIES, LLC
CRD#: 307424 / SEC#: 801-119473
RIA
Registered Investment Advisory firm - (9/17/2020 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.Highlighted states indicate IAR registrations
IAR
Colorado(9/21/2020)
IAR
Texas(11/12/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
ASPEN WEALTH STRATEGIES, LLC
ASPEN WEALTH PLANNING | ASPEN WEALTH STRATEGIES, LLC
CRD#: 307424 / SEC#: 801-119473
RIA
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Contact information
Main Address
8333 Ralston Road, Suite 2, Arvada, CO 80002
Mailing Address
Phone number
(303) 421-1113
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,142 |
| AUM (Assets Under Management) | $ 279,717,057 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
