CA
Clay J. Anderson
ASCENDANCE WEALTH
FRANKTOWN, CO
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CRD#: 5268282
CA
Professional summary
Clay James Anderson is a registered financial advisor currently at ASCENDANCE WEALTH located in Franktown, Colorado.
Clay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Clay has worked at 2 firms .
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.
FOR THE PAST 20 YEARS, APPLICANT HAS BEEN IN A PARTNERSHIP WITH HIS FAMILY REGARDING AN AGRICULTURAL OPERATION IN COLORADO. THIS IS NOT INVESTMENT-RELATED, AND HIS TIME DEVOTED TO THE ENTERPRISE OCCURS ON THE WEEKENDS (ESTIMATED TO BE 10 HOURS PER MONTH). HIS ROLE IS PRIMARILY INVOLVED IN THE CARETAKING OF LIVESTOCK. ALSO, SINCE SEPTEMBER 1, 2015, APPLICANT HAS FROM TIME TO TIME PARTICIPATED IN SHORT-TERM PROJECTS FOR BUSINESS CLIENTS, USING THE KNOWLEDGE AND SKILLS EARNED THROUGH THE CHARTERED FINANCIAL ANALYST� (CFA�) PROGRAM. HE COULD ADVISE ON THE ANALYSIS OF FINANCIAL STATEMENTS, MERGERS AND ACQUISITIONS. ALL PROJECTS INVOLVE NON-PUBLICLY TRADED ENTITIES. THESE ENGAGEMENTS WOULD NOT BE PERFORMED FOR MONEY PROFESSIONALS INVESTMENT ADVISORY OR FINANCIAL PLANNING CLIENTS. APPLICANT, AS AN INDEPENDENT CONTRACTOR, IS COMPENSATED EITHER ON AN HOURLY BASIS OR ON AGREED SCOPE OF WORK. HIS WORK PREDOMINANTLY OCCURS OUTSIDE OF SECURITIES TRADING HOURS; OCCASIONAL MEETINGS TO DISCUSS HIS FINDINGS OR RECOMMENDATIONS MIGHT OCCUR DURING THE NORMAL WORK DAY BUT WOULD BE INCIDENTAL, AND WOULD OCCUR VIA PHONE OR VIDEO-ENABLED CHANNELS. APPLICANT MAY SPEND UP TO 10 HOUR PER WEEK ON THESE ASSIGNMENTS, WHEN CONTRACTED.
CRS (Client Relationship Summary) - RIA
Click below to view Clay James Anderson'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
August 3, 2007 - Present
ASCENDANCE WEALTH
RIA
CRD#: 142583
FRANKTOWN, CO
Past
August 12, 2021 - December 13, 2021
MONEY PROFESSIONALS, LLC
RIA
CRD#: 132080
PENSACOLA, FL
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(8/3/2007)
Exams
Current Firm
AW
ASCENDANCE WEALTH
ASCENDANCE WEALTH | PRIVATE CAPITAL, LLC
CRD#: 142583 / SEC#: 801-67460
RIA
Registered Investment Advisory firm - (11/8/2007 Terminated)Colorado
Registered Investment Advisory firm - (10/15/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Olney Springs, CO
Mailing Address
Phone number
(303) 264-4797
Established
Firm type
Fiscal year end
# of Employees
0
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 2,239,843 |
Red Flags
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