Safalta Sherpa

COOKSEN WEALTH

Denver, CO

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CRD#: 5334287

Professional summary

Safalta Sherpa is a registered financial advisor currently at COOKSEN WEALTH, LLC located in Denver, Colorado.

Safalta is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Safalta has worked at 6 firms and has passed the Series 65, Series 63, 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.

SAGARMATHA ASAHAYA SEWA SANGH (SASS)/ SAGARMATHA DESTITUTE SERVICE ORGANIZATION, NOT INVESTMENT RELATED, KATHMANDU, NEPAL, NON PROFIT ORGANIZATION, VOLUNTEER/POINT OF CONTACT I THE US FOR SPONSORS, 2/2015, 20 HR PER MONTH, 0 HRS DURING SECURITIES TRADING, FUNDRAISING/CROWDFUNDING/REPRESENTING SASS IN THE US/ASSIST WITH BUDGETING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Safalta Sherpa's CRS (Customer Relationship Summary).

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

June 6, 2024 - Present

COOKSEN WEALTH, LLC

RIA

CRD#: 300451

Denver, CO

Past

May 3, 2017 - February 3, 2023

MCLEAN ASSET MANAGEMENT CORP.

RIA

CRD#: 108067

TYSONS, VA

Past

April 22, 2016 - March 28, 2017

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

ALEXANDRIA, VA

Past

April 28, 2015 - March 28, 2017

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

ALEXANDRIA, VA

Past

November 8, 2010 - April 22, 2016

SANDERS MORRIS LLC

CRD#: 20580

ALEXANDRIA, VA

Past

January 19, 2009 - November 10, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BLUEFIELD, WV

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".

COOKSEN WEALTH, LLC

COOKSEN WEALTH, LLC | GREENLEAF WEALTH, LLC

CRD#: 300451 / SEC#: 801-128131

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

California

Registered Investment Advisory firm - (7/9/2023 Terminated)

Florida

Registered Investment Advisory firm - (6/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2023 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).

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
(6/6/2024)

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

IAR

Series 65

Date: 4/27/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2009

General Securities Representative Examination

Current Firm

COOKSEN WEALTH, LLC

COOKSEN WEALTH, LLC | GREENLEAF WEALTH, LLC

CRD#: 300451 / SEC#: 801-128131

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

California

Registered Investment Advisory firm - (7/9/2023 Terminated)

Florida

Registered Investment Advisory firm - (6/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2023 Terminated)

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Contact information

Main Address

1790 Hughes Landing Boulevard Suite 400, The Woodlands, TX 77380

Mailing Address

Phone number

(832) 592-2554

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR COOKSEN WEALTH, LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	319
AUM (Assets Under Management)	$ 178,854,598

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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Advisor Monitoring

Firm Stability Insights

Safalta Sherpa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Safalta Sherpa's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCLEAN ASSET MANAGEMENT CORP.

RETIREONE INVESTMENT SERVICES, LLC

EDELMAN FINANCIAL SERVICES, LLC

SANDERS MORRIS LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

COOKSEN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2015

Series 63

Date: 12/30/2013

SIE

Date: 3/28/2017

Series 7

Date: 1/16/2009

Current Firm

COOKSEN WEALTH, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOKSEN WEALTH, LLC

TRUST BUT VERIFY

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