DA
Darby L. Affeldt
CETERA INVESTMENT ADVISERS LLC
Denver, CO 80210
Some features on this profile are disabled
CRD#: 6138325
DA
Professional summary
Darby Lee Affeldt, who also goes by Darby Lee James, Darby Lee Lippincott, Darby Lee Pietrangelo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Darby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Darby has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darby Lee James | Darby Lee Lippincott | Darby Lee Pietrangelo
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. BOOK & ARTICLE AUTHOR POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: , Olympia WA , United States DESCRIPTION: Owner 2. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2014 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 3. PAID SPEAKER POSITION: Agent/Broker NATURE: Speaker INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/13/2020 ADDRESS: 8405 Ski View Lane Sw, Olympia WA 98512, United States DESCRIPTION: I have been asked to speak at conventions, and currently since travel is not an option due to Covid, the conventions have all turned into virtual, recorded talks. I used power points that are compliance approved with all disclosures. If they ask to record, I will turn in all recordings for compliance approval before they are released. The compensation is an honorarium. 4. REFERRAL FEES FROM CORPORATE VETERINARY BUYERS POSITION: Referrer NATURE: Referral Agreement INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/21/2020 ADDRESS: 8405 Ski View Lane Sw, Olympia WA 98512, United States DESCRIPTION: Vet practice owners decide to sell their practices. Some wish to sell to one of the 2,500 corporate consolidators out there. I would like to connect my sellers' with at least 2-3 corporate buyers for them to assess. Instead of charging the client, corporate entities pay referral fees. 5. NAME OF OTHER BUSINESS: HER TABLE WEALTH AND WELLNESS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL EMPOWERMENT, START DATE: 9/2024, POSITION/TITLE/RELATIONSHIP: WEALTH AND WELLNESS COACHING, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: COACHGUIDING WOMEN THROUGH OUR EDUCATIONAL PROGRAMS.... EMPOWERMENT, MINDSET, HABITS, ACCOUNTABILITY, NAVIGATING CHANGE, EMOTIONAL IMPACT; 6. NAME OF OTHER BUSINESS: MISSION ANIMAL HOSPITAL; INVESTMENT RELATED: NO; ADDRESS: 10100 VIKING DRIVE SUITE 150 EDEN PRAIRIE, MN 55344; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024 ; POSITION/TITLE/RELATIONSHIP: ADVISOR BOARD-COLORADO; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FUNDRAISE TO OPEN A 2ND LOCATION IN DENVER, AND THEN ADDITIONAL CITIES; 7. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 8. NAME OF OTHER BUSINESS: FORTUNELLE FILMS, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FILM PRODUCTION, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: PARTNER, MANAGING MEMBER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: INVESTOR, EXECUTIVE PRODUCER, COORDINATION OF PRODUCTION WITH FILMMAKER AND DIGITAL MARKETING COMPANY, FEATURED IN THE FILM;
CRS (Client Relationship Summary) - RIA
Click below to view Darby Lee Affeldt'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2785 S Cook St, Denver, CO 80210RIA
CRD#: 105644
Denver, CO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
December 18, 2014 - October 22, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
Seattle, WA
Past
December 18, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Denver, CO
Past
December 9, 2014 - October 22, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
Seattle, WA
Past
December 9, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Olympia, WA
Past
December 19, 2012 - February 21, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
IAR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Delaware(8/10/2023)
RR
Florida(8/30/2023)
RR
Georgia(8/10/2023)
RR
Hawaii(8/10/2023)
RR
Idaho(8/10/2023)
RR
Illinois(8/10/2023)
RR
Maine(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(11/22/2024)
RR
Montana(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Hampshire(1/3/2025)
RR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Tennessee(12/2/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
