CM
Colin E. Macleod
THE INSTITUTE
Seattle, WA 98112
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CRD#: 6220095
CM
Professional summary
Colin Ellsworth Macleod is a registered financial advisor currently at THE INSTITUTE located in Seattle, Washington and DMK ADVISOR GROUP, INC. located in Seattle, Washington.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Colin has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
RIA business with Institute for Wealth Management, Cloud Racing LLC (sole owner LLC for my photography jobs on weekends) Institute for Wealth Management, Denver, CO., Current Job, RIA business, I am Investment Adviser Representative, 30-40 hours a week, started 04/2019, Provide and assist in clerical duties for clients.
CRS (Client Relationship Summary) - RIA
Click below to view Colin Ellsworth Macleod'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
May 10, 2019 - Present
THE INSTITUTE
Office #1: 4020 E Madison St Suite 210, Seattle, WA 98112RIA
CRD#: 127207
Seattle, WA
Current
August 17, 2017 - Present
DMK ADVISOR GROUP, INC.
Office #1: 1201 3rd Avenue, Ste. 5040, Seattle, WA 98101RIA
BD
CRD#: 41067
Seattle, WA
Past
January 27, 2017 - April 30, 2019
INSTITUTE FOR WEALTH ADVISORS, INC.
RIA
CRD#: 149347
Seattle, WA
Past
October 7, 2016 - January 26, 2017
SOWELL MANAGEMENT
RIA
CRD#: 127145
Seattle, WA
Past
December 28, 2015 - June 19, 2017
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
Seattle, WA
Past
July 15, 2014 - September 3, 2015
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
STEILACOOM, WA
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".
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 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
RR
Washington(8/17/2017)
IAR
Washington(5/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9878 W. Belleview Ave. #2306, Denver, CO 80123
Mailing Address
Phone number
(303) 572-3500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,848 |
| AUM (Assets Under Management) | $ 1,154,643,475 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
