EA
Emily D. Arnold
FOUNDATIONS INVESTMENT ADVISORS LLC
Denver, CO
Some features on this profile are disabled
CRD#: 5649098
EA
Professional summary
Emily Diane Arnold, who also goes by Emily Arnold, Emily Diane Arnold Dominguez, Emily Arnold Dominguez, Emily Diane Arnold-dominguez, Emily Arnold-dominguez, Emily Diane Patton, is a registered financial advisor currently at FOUNDATIONS INVESTMENT ADVISORS LLC located in Denver, Colorado.
Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Emily has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily Arnold | Emily Diane Arnold Dominguez | Emily Arnold Dominguez | Emily Diane Arnold-Dominguez | Emily Arnold-Dominguez | Emily Diane Patton
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.
1.) E.A. BUCK FINANCIAL - INVESTMENT RELATED; FINANCIAL ADVISOR AND INSURANCE AGENT; 55 MERCHANT ST. SUITE 2100 HONOLULU, HI 96813; 160 HRS./MONTH, 160 HRS./MONTH DURIN TRADING HOURS; START DATE: 9/16/2022 2.) BUCK WEALTH STRATEGIES - INVESTMENT RELATED; INVESTMENT ADVISER REPRESENTATIVE; 55 MERCHANT ST. SUITE 2100 HONOLULU HAWAII 96813; 160 HRS./MONTH; 160 HRS./MONTH DURING TRADING HOURS. START DATE: 9/16/2022 3.) MADISON AVENUE SECURITIES; INVESTMENT RELATED; REGISTERED REPRESENTATIVE; 13500 EVENING CREEK DR. N. SUITE 555 SAN DIEGO, CA 92128; 160 HRS./MONTH; 160 HRS./MONTH DURING TRADING HOURS; START DATE: 9/16/2022 4.) LTCPRO, LLC DBA FEDERAL BENEFIT MADE SIMPLE; INVESTMENT RELATED: YES; PRIVATE WEALTH MANAGER; INVESTMENT ADVISOR REPRESENTATIVE; 1 DENVER FEDERAL CENTER BUILDING 45 ENTERENCE E, 9, LAKEWOOD, CO 80225; 160 HRS./MONTH; START DATE: 01/2024
CRS (Client Relationship Summary) - RIA
Click below to view Emily Diane Arnold'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 10, 2024 - Present
FOUNDATIONS INVESTMENT ADVISORS LLC
Office #2: 3152 Little Rd #144, Trinity, FL 34655RIA
CRD#: 175083
Denver, CO
Past
January 29, 2024 - August 2, 2024
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
DENVER, CO
Past
September 30, 2022 - September 16, 2024
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Denver, CO
Past
September 26, 2022 - September 16, 2024
BUCK WEALTH STRATEGIES, LLC
RIA
CRD#: 322138
DENVER, CO
Past
June 2, 2020 - October 5, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
SCOTTSDALE, AZ
Past
June 2, 2020 - October 5, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
February 12, 2013 - June 4, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Littleton, CO
Past
February 1, 2013 - June 4, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Littleton, CO
Past
April 29, 2009 - February 4, 2013
WADDELL & REED
RIA
CRD#: 866
DENVER, CO
Past
April 14, 2009 - February 4, 2013
WADDELL & REED
BD
CRD#: 866
DENVER, CO
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".
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 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(10/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040
Mailing Address
Phone number
(480) 626-2979
Established
Firm type
Fiscal year end
# of Employees
284
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,653 |
| AUM (Assets Under Management) | $ 7,184,472,288 |
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.
