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CD

Curtis M. Duffus

ARES WEALTH MANAGEMENT SOLUTIONS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5932436
CD

Professional summary

Curtis Michael Duffus is a registered financial professional currently at ARES WEALTH MANAGEMENT SOLUTIONS, LLC located in Denver, Colorado.

Curtis is registered as a RR (Registered Representative) and started their career in finance in 2011. Curtis has worked at 4 firms and has passed the Series 66, SIE, Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Curtis Michael Duffus'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

August 20, 2018 - Present

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

Office #1: 1200 17th Street Suite #2900, Denver, CO 80202
BD
CRD#: 119546
Denver, CO
Past

April 15, 2013 - March 29, 2016

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

April 15, 2013 - June 8, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

September 30, 2011 - January 25, 2013

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
GREENWOOD VILLAGE, CO
Past

September 7, 2011 - January 25, 2013

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
GREENWOOD VILLAGE, 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
(6/28/2019)
RR
California
(10/4/2022)
RR
Colorado
(8/20/2018)
RR
Florida
(6/28/2019)
RR
Louisiana
(5/18/2020)
RR
Mississippi
(5/18/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/26/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/7/2016
Investment Company Products/Variable Contracts Principal Examination
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 (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOUBLE DIAMOND LLCSOLE MEMBER
MAGNER, BRIANCHIEF COMPLIANCE OFFICER3069172
MARRONE, MICHAEL THOMASFINOP, PRINCIPAL FINANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER4859949

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.

Company Information

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546Denver, CO 80202

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