AB
Alexander R. Bastron
NORTHSTAR FINANCIAL COMPANIES
Golden, CO 80403
Some features on this profile are disabled
CRD#: 5132228
AB
Professional summary
Alexander R Bastron, who also goes by Alex Bastron, is a registered financial advisor currently at NORTHSTAR FINANCIAL COMPANIES, INC. located in Golden, Colorado.
Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Alexander has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Bastron
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.
As of October 1 2020, Comprehensive financial planning under Northstar Financial Companies at 355 S Teller St, Suite 200 Lakewood CO 80226 takes up approximately 20-25 hourse per week. Additionally, 1-2 hours per week are spent acting as an insurance consultant/agent for various insurances companies.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander R Bastron'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
October 2, 2020 - Present
NORTHSTAR FINANCIAL COMPANIES, INC.
Office #1: 13301 West 43rd Street Unit 6a, Golden, CO 80403RIA
CRD#: 119396
Golden, CO
Past
January 8, 2016 - September 30, 2020
LONGVIEW WEALTH MANAGEMENT
RIA
CRD#: 136214
Lakewood, CO
Past
November 25, 2009 - April 27, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Denver, CO
Past
November 25, 2009 - October 20, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Lakewood, CO
Past
March 17, 2009 - November 12, 2009
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
RALEIGH, NC
Past
March 17, 2009 - November 12, 2009
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
May 20, 2008 - March 17, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FAIRFIELD, IA
Past
July 18, 2006 - March 17, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
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".
NF
NORTHSTAR FINANCIAL COMPANIES, INC.
AUGUST HERMAN NIEMEYER | THE NIEMEYER GROUP, INC. | THE NIEMEYER GROUP | NORTHSTAR FINANCIAL GROUP | NORTHSTAR FINANCIAL COMPANIES, INC. | KENSINGTON MANAGEMENT
CRD#: 119396 / SEC#: 801-115004
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (4/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (4/23/2019 Terminated)Delaware
Registered Investment Advisory firm - (12/31/2005 Terminated)Florida
Registered Investment Advisory firm - (4/22/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (4/22/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (5/15/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/22/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/22/2019 Terminated)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(10/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
NF
NORTHSTAR FINANCIAL COMPANIES, INC.
AUGUST HERMAN NIEMEYER | THE NIEMEYER GROUP, INC. | THE NIEMEYER GROUP | NORTHSTAR FINANCIAL GROUP | NORTHSTAR FINANCIAL COMPANIES, INC. | KENSINGTON MANAGEMENT
CRD#: 119396 / SEC#: 801-115004
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (4/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (4/23/2019 Terminated)Delaware
Registered Investment Advisory firm - (12/31/2005 Terminated)Florida
Registered Investment Advisory firm - (4/22/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (4/22/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (5/15/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/22/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/22/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 E. Hector St, Conshohocken, PA 19428
Mailing Address
Phone number
(610) 629-6100
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,303 |
| AUM (Assets Under Management) | $ 443,347,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
