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MM

Michael J. Moniz

SAGE CANYON ADVISORS
BOULDER, CO
Some features on this profile are disabled
CRD#: 5097236
MM

Professional summary

Michael J Moniz is a registered financial professional currently at SAGE CANYON ADVISORS, LLC located in Boulder, Colorado.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 1 firm and has passed the Series 79TO, Series 62, SIE, Series 7 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Michael J Moniz'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

August 15, 2006 - Present

SAGE CANYON ADVISORS, LLC

Office #2: 433 Canyonside Drive, Boulder, CO 80302
BD
CRD#: 139688
BOULDER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Colorado
(8/25/2006)

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SAGE CANYON ADVISORS, LLC
SAGE CANYON ADVISORS, LLC

CRD#: 139688 / SEC#: , 8-67238

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
433 Canyonside Drive, Boulder, CO 80302
Mailing Address
433 Canyonside Drive, Boulder, CO 80302
Phone number
(303) 931-7767
Established
Colorado since 09/26/2005
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#
MONIZ, MICHAEL JCEO5097236
BLISARD, CHRISTOPHER TCOO5097785
OLIVO, PETER-CHRISTIANCLO, CCO, CFO, FINOP5100655

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

SAGE CANYON ADVISORS, LLC

CRD#: 139688Boulder, CO

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