Colby T. Berg

GUARDIAN WEALTH MANAGEMENT

Salt Lake City, UT 84101

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CRD#: 6449892

Professional summary

Colby Todd Berg, CFP® is a registered financial advisor currently at GUARDIAN WEALTH MANAGEMENT located in Salt Lake City, Utah.

Colby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Colby has worked at 4 firms and has passed the Series 63, Series 65, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colby Todd Berg'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

April 26, 2022 - Present

GUARDIAN WEALTH MANAGEMENT

Office #1: 50 West Broadway Suite 904, Salt Lake City, UT 84101

RIA

CRD#: 146923

Salt Lake City, UT

Past

July 13, 2018 - April 7, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

June 22, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

August 8, 2015 - April 4, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

March 13, 2015 - July 1, 2015

GUARDIAN WEALTH MANAGEMENT

RIA

CRD#: 146923

SALT LAKE CITY, UT

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".

GUARDIAN WEALTH MANAGEMENT

12 RIA | GUARDIAN WEALTH MANAGEMENT, LLC | GUARDIAN WEALTH MANAGEMENT

CRD#: 146923 / SEC#: 801-125769

RIA

Registered Investment Advisory firm - (5/31/2022 Approved)

Utah

Registered Investment Advisory firm - (6/6/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Utah
(4/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/15/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/12/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2015

General Securities Representative Examination

Current Firm

GUARDIAN WEALTH MANAGEMENT

12 RIA | GUARDIAN WEALTH MANAGEMENT, LLC | GUARDIAN WEALTH MANAGEMENT

CRD#: 146923 / SEC#: 801-125769

RIA

Registered Investment Advisory firm - (5/31/2022 Approved)

Utah

Registered Investment Advisory firm - (6/6/2022 Terminated)

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Contact information

Main Address

50 West Broadway Suite 904, Salt Lake City, UT 84101

Mailing Address

Phone number

(385) 355-4455

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 151,948,154

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.

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Colby T. Berg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colby Todd Berg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

GUARDIAN WEALTH MANAGEMENT

Primary Firm SEC Registration

GUARDIAN WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/2015

Series 65

Date: 3/12/2015

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2015

Current Firm

GUARDIAN WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH MANAGEMENT

TRUST BUT VERIFY

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