Nestor M. Vargas

ALIGNPOINT WEALTH

LAKEWOOD, CO 80226

Some features on this profile are disabled

CRD#: 5871563

Professional summary

Nestor Mauricio Vargas, CFP®, who also goes by Nestor Vargas, is a registered financial advisor currently at ALIGNPOINT WEALTH located in Lakewood, Colorado.

Nestor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nestor has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I am a proud graduate of the Cogging College Of Business at the University of North Florida.

I hold the CERTIFIED FINANCIAL PLANNER™ designation – exemplifying my commitment to the highest standards of integrity and professionalism in the industry.

When I’m not geeking out on financial planning topics, you can find me spending time with my family, attending music shows, and attending as many Denver Nuggets games as possible.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Tax Planning

Retirement Income Management

Do you have an area of expertise or specialization?

Baby Boomers

Generation X

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Nestor Vargas

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.

GREEN MOUNTAIN PLANNING / INVESTMENT RELATED / LAKEWOOD, CO / REGISTERED INVESTMENT ADVISOR / OWNER / AUG 2018 / 150 HOURS PER MONTH / 100% DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nestor Mauricio Vargas'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

August 9, 2018 - Present

ALIGNPOINT WEALTH

Office #1: 355 S Teller St Suite 200, Lakewood, CO 80226

RIA

CRD#: 297295

LAKEWOOD, CO

Past

January 18, 2022 - July 29, 2022

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

LAKEWOOD, CO

Past

September 16, 2011 - June 28, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

February 17, 2011 - June 7, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

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
(8/9/2018)

IAR

Texas
(4/12/2021)

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 66

Date: 9/9/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/24/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2011

General Securities Representative Examination

Current Firm

ALIGNPOINT WEALTH

ALIGNPOINT WEALTH | GREEN MOUNTAIN PLANNING

CRD#: 297295 / SEC#:

Colorado

Registered Investment Advisory firm - (8/9/2018 Approved)

Texas

Registered Investment Advisory firm - (4/12/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

355 S Teller St Suite 200, Lakewood, CO 80226

Mailing Address

Phone number

(720) 709-2202

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 16,892,067

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nestor M. Vargas

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nestor Mauricio Vargas's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGNPOINT WEALTH

ORIGIN INVESTMENT ADVISORY LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2011

Series 63

Date: 2/24/2011

SIE

Date: 6/7/2018

Series 7

Date: 2/16/2011

Current Firm

ALIGNPOINT WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALIGNPOINT WEALTH

TRUST BUT VERIFY

Contact information

Similar Advisors