DT
David W. Traylor
COLORADO FINANCIAL SERVICE
lakewood, CO
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CRD#: 4956101
DT
Professional summary
David Winston Traylor is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Lakewood, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 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) GOLDEN EAGLE PARTNERS; GEP, LLC. / INVESTMENT RELATED / 13771 W AMHERST WAY LAKEWOOD CO 80228 / OWNER 2) TRAYLOR AERODYNAMIC SYSTEMS / NON-INVESTMENT RELATED / 13771 W AMHERST WAY LAKEWOOD, CO 80228 / PATENT DESIGNER / CEO & FOUNDER / 0 HOURS PER MONTH / O HOURS DURING TRADING HOURS 3) ATHLETES FOR CARE, NON-INVESTMENT RELATED, 4446 HERCULES AVE. #404, JACKSONVILLE, FL 32207, CHAIRMAN OF SCIENTIFIC ADVISORY COUNSEL, VOLUNTEER-CHAIRMAN, 1 HOUR/MONTH, START DATE OCT 2021 4) COLORADO LACROSSE HALL OF FAME / NON-INVESTMENT RELATED / 13771 W AMHERST WAY, LAKEWOOD, CO 80228 / HEAD OF ORGANIZATION / 5 HOURS PER MONTH / 0 HOURS DURING TRADING HOURS 5) UNIVERSITY OF COLORADO LACROSSE CLUB / NON-INVESTMENT RELATED / REGENT DRIVE, BOULDER, CO 80201 / VOLUNTEER / 3 HOURS PER MONTH / 0 HOURS DURING TRADING HOURS 6) Skunk Works LLC / Non-Investment Related / 13771 W. Amherst Way Lakewood CO 80228 / Consulting for plant-based products / Sr. Managing Partner / Start date July 2025 / 4 hours per month / 4 hours during securities trading hours
CRS (Client Relationship Summary) - RIA
Click below to view David Winston Traylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Winston Traylor'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
April 24, 2017 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
lakewood, CO
Current
September 28, 2015 - Present
COLORADO FINANCIAL SERVICE CORPORATION
Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112RIA
BD
CRD#: 104343
Centennial, CO
Past
November 27, 2012 - December 24, 2014
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CENTENNIAL, CO
Past
March 11, 2010 - November 26, 2012
HEADWATERS BD, LLC
BD
CRD#: 117042
DENVER, CO
Past
October 24, 2007 - February 26, 2010
CARIS & COMPANY, INC.
BD
CRD#: 104235
SAN DIEGO, CA
Past
August 19, 2005 - June 29, 2007
PACIFIC GROWTH EQUITIES, LLC
BD
CRD#: 24835
SAN FRANCISCO, CA
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.RR
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
RR
California(9/28/2015)
RR
Colorado(9/28/2015)
IAR
Colorado(4/24/2017)
RR
Connecticut(6/8/2016)
RR
Florida(6/8/2016)
RR
Illinois(12/6/2017)
RR
Maine(5/23/2024)
RR
Massachusetts(6/8/2016)
RR
Nevada(6/8/2016)
RR
New Jersey(6/8/2016)
RR
New York(9/28/2015)
RR
Oregon(1/31/2018)
RR
Puerto Rico(6/8/2016)
RR
Texas(6/8/2016)
RR
Washington(1/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
