MC
Molly J. Cooper
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
Denver, CO 80202
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CRD#: 6181705
MC
Professional summary
Molly Jeanne Cooper, who also goes by Molly Jeanne Deml, is a registered financial advisor currently at HIGGINS & SCHMIDT WEALTH STRATEGIES LLC located in Denver, Colorado and LPL FINANCIAL LLC located in Denver, Colorado.
Molly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Molly has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Molly Jeanne Deml
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.
1.05/26/2017 - HD WEALTH STRATEGIES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ BROOMFIELD, CO
2.05/26/2017 - NOTARY/ NOTARY/ 1%/ BROOMFIELD, CO.
3. 6/6/2017 - HD Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 02/06/2017 - 20 Hours Per Month/5 Hours During Securities Trading - Time Spent 50% - I provide administrative support to HD Wealth Strategies, an independent investment advisor firm. I started this business activity in May 2017. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 2/18/2021 - Higgins & Schmidt Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/16/2021 - 160 Hours Per Month/140 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Molly Jeanne Cooper'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
March 1, 2017 - Present
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
Office #1: 1934 Market Street, Denver, CO 80202RIA
CRD#: 286063
Denver, CO
Current
May 26, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1934 Market Street,, Denver, CO 80202RIA
BD
CRD#: 6413
Denver, CO
Past
June 6, 2014 - December 22, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BROOMFIELD, CO
Past
June 5, 2014 - December 22, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BROOMFIELD, CO
Past
June 11, 2013 - March 20, 2014
EDWARD JONES
RIA
CRD#: 250
ALEXANDRIA, MN
Past
May 14, 2013 - March 20, 2014
EDWARD JONES
BD
CRD#: 250
ALEXANDRIA, 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".
H&
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
CRD#: 286063 / SEC#: 801-119622
RIA
Registered Investment Advisory firm - (10/9/2020 Approved)Colorado
Registered Investment Advisory firm - (10/30/2020 Terminated)Texas
Registered Investment Advisory firm - (10/19/2020 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.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
IAR
Colorado(3/1/2017)
RR
Colorado(5/26/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H&
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
CRD#: 286063 / SEC#: 801-119622
RIA
Registered Investment Advisory firm - (10/9/2020 Approved)Colorado
Registered Investment Advisory firm - (10/30/2020 Terminated)Texas
Registered Investment Advisory firm - (10/19/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1934 Market Street, Denver, CO 80202
Mailing Address
Phone number
(720) 287-0918
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 782 |
| AUM (Assets Under Management) | $ 215,146,264 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
