KH
Keith W. Herbert
ARES WEALTH MANAGEMENT SOLUTIONS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5752687
KH
Professional summary
Keith William Herbert is a registered financial professional currently at ARES WEALTH MANAGEMENT SOLUTIONS, LLC located in Denver, Colorado.
Keith is registered as a RR (Registered Representative) and started their career in finance in 2010. Keith has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Keith William Herbert'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 1, 2018 - Present
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
Office #1: 1200 17th Street Suite #2900, Denver, CO 80202BD
CRD#: 119546
Denver, CO
Past
February 17, 2010 - September 17, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, 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
Alabama(12/6/2019)
RR
Alaska(12/6/2019)
RR
Arizona(12/6/2019)
RR
Arkansas(10/16/2018)
RR
California(12/6/2019)
RR
Colorado(10/1/2018)
RR
Connecticut(12/6/2019)
RR
Delaware(12/6/2019)
RR
District of Columbia(12/6/2019)
RR
Florida(12/6/2019)
RR
Georgia(12/6/2019)
RR
Hawaii(12/6/2019)
RR
Idaho(12/6/2019)
RR
Illinois(12/6/2019)
RR
Indiana(12/6/2019)
RR
Iowa(12/6/2019)
RR
Kansas(12/6/2019)
RR
Kentucky(12/6/2019)
RR
Louisiana(10/16/2018)
RR
Maine(12/6/2019)
RR
Maryland(12/6/2019)
RR
Massachusetts(12/6/2019)
RR
Michigan(12/6/2019)
RR
Minnesota(12/6/2019)
RR
Mississippi(10/16/2018)
RR
Missouri(12/6/2019)
RR
Montana(12/6/2019)
RR
Nebraska(12/6/2019)
RR
Nevada(12/6/2019)
RR
New Hampshire(12/6/2019)
RR
New Jersey(12/6/2019)
RR
New Mexico(12/6/2019)
RR
New York(12/6/2019)
RR
North Carolina(12/6/2019)
RR
North Dakota(12/6/2019)
RR
Ohio(12/6/2019)
RR
Oklahoma(12/6/2019)
RR
Oregon(12/6/2019)
RR
Pennsylvania(12/6/2019)
RR
Puerto Rico(12/6/2019)
RR
Rhode Island(12/6/2019)
RR
South Carolina(12/6/2019)
RR
South Dakota(12/6/2019)
RR
Tennessee(12/6/2019)
RR
Texas(10/16/2018)
RR
Utah(12/6/2019)
RR
Vermont(12/6/2019)
RR
Virgin Islands(12/13/2019)
RR
Virginia(12/6/2019)
RR
Washington(12/6/2019)
RR
West Virginia(12/6/2019)
RR
Wisconsin(12/6/2019)
RR
Wyoming(12/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
ARES WEALTH MANAGEMENT SOLUTIONS, LLC | REAL ESTATE INCOME SECURITIES, LLC | DIVIDEND CAPITAL SECURITIES, LLC | BLACK CREEK CAPITAL MARKETS, LLC
CRD#: 119546 / SEC#: , 8-65199
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1200 17th Street Suite #2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite #2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Colorado since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
