JR
Jacob B. Ray
COLORADO WEALTH GROUP LLC
DENVER, CO 80210
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CRD#: 6111509
JR
Professional summary
Jacob Brian Ray, AIF® is a registered financial advisor currently at COLORADO WEALTH GROUP LLC located in Denver, Colorado.
Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jacob has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 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.
1. Insurance Agent. Not investment-related. Life, health, long term care & fixed annuities. Insurance Agent. Aug 31, 2012. 4-20 hrs/mo. Able to help clients place Life, Disability and/or Long Term Care Insurance. 2. 1345 Broadway, LLC. Not investment-related. Personal real estate investments and rental properties. Managing Member. May 01, 2019. 4-20 hrs/mo. 3. Financial Planning Consultants, LLC. Not investment-related. Entity used for processing of bookkeeping and payroll for investment advisory services. Owner and Managing Member. Jan 02, 2018. 4 -20 hrs/month.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Brian Ray'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®
Experience
Current
January 29, 2021 - Present
COLORADO WEALTH GROUP LLC
Office #1: 1345 S. Broadway, Denver, CO 80210RIA
CRD#: 310024
DENVER, CO
Past
August 14, 2020 - December 31, 2020
COLORADO WEALTH GROUP LLC
RIA
CRD#: 310024
DENVER, CO
Past
July 9, 2018 - August 14, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Denver, CO
Past
March 31, 2016 - August 14, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Denver, CO
Past
October 4, 2012 - April 2, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LAKEWOOD, 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".
CW
COLORADO WEALTH GROUP LLC
COLORADO WEALTH GROUP | COLORADO WEALTH GROUP, LLC | COLORADO WEALTH GROUP LLC
CRD#: 310024 / SEC#: 801-122586
RIA
Registered Investment Advisory firm - (11/1/2021 Approved)California
Registered Investment Advisory firm - (12/1/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/3/2021 Terminated)Florida
Registered Investment Advisory firm - (11/1/2021 Terminated)Louisiana
Registered Investment Advisory firm - (11/3/2021 Terminated)Ohio
Registered Investment Advisory firm - (11/3/2021 Terminated)Texas
Registered Investment Advisory firm - (11/1/2021 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(1/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
COLORADO WEALTH GROUP LLC
COLORADO WEALTH GROUP | COLORADO WEALTH GROUP, LLC | COLORADO WEALTH GROUP LLC
CRD#: 310024 / SEC#: 801-122586
RIA
Registered Investment Advisory firm - (11/1/2021 Approved)California
Registered Investment Advisory firm - (12/1/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/3/2021 Terminated)Florida
Registered Investment Advisory firm - (11/1/2021 Terminated)Louisiana
Registered Investment Advisory firm - (11/3/2021 Terminated)Ohio
Registered Investment Advisory firm - (11/3/2021 Terminated)Texas
Registered Investment Advisory firm - (11/1/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1345 S. Broadway, Denver, CO 80210
Mailing Address
Phone number
(720) 729-2500
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,161 |
| AUM (Assets Under Management) | $ 235,338,632 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
