James M. Kirk

ROCKY MOUNTAIN FINANCIAL SOLUTIONS

Erie, CO

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CRD#: 4997027

Professional summary

James Michael Kirk, who also goes by James M. Kirk, is a registered financial advisor currently at ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC. located in Erie, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James M. Kirk

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.

Kirk, James, Michael DBA Rocky Mountain Financial Solutions; Erie, Co; licensed insurance agent since 04/2018; investment related; selling insurance products; 8 hrs/mo.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Kirk'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®

None

Experience

Current

November 25, 2020 - Present

ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC.

RIA

CRD#: 311584

Erie, CO

Past

February 27, 2018 - January 13, 2021

IFC

RIA

CRD#: 283976

Erie, CO

Past

October 1, 2012 - October 5, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

THORNTON, CO

Past

April 18, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

THORNTON, CO

Past

July 14, 2010 - August 26, 2011

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DENVER, CO

Past

December 19, 2007 - August 26, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

DENVER, CO

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
(1/12/2021)

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

Series 63

Date: 3/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/2007

General Securities Representative Examination

Current Firm

ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC.

KIRK, JAMES, MICHAEL | ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC. | ROCKY MOUNTAIN FINANCIAL SOLUTIONS

CRD#: 311584 / SEC#:

Colorado

Registered Investment Advisory firm - (1/12/2021 Approved)

Texas

Registered Investment Advisory firm - (11/27/2023 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

Erie, CO

Mailing Address

Phone number

(720) 440-1931

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 9,791,994

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

James M. Kirk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Kirk's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC.

IFC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2008

Series 7

Date: 12/18/2007

Current Firm

ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCKY MOUNTAIN FINANCIAL SOLUTIONS INC.

TRUST BUT VERIFY

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