JM
Jonathan M. Mertens
UNITED CAPITAL FINANCIAL ADVISORS
Fort Collins, CO 80521
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CRD#: 6516423
JM
Professional summary
Jonathan Michael Mertens, CFP®, who also goes by Jon Mertens, Jonathan Mertens, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Fort Collins, Colorado and INTEGRITY ALLIANCE, LLC. located in Fort Collins, Colorado.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Mertens | Jonathan Mertens
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.UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 168 SECURITIES TRADING HOURS: 136 START DATE: 01/03/2022 ADDRESS: 401 West Mountain Ave, STE 101, Fort Collins CO 80521, United States DESCRIPTION: Create financial plans, oversee client onboarding and Investment Management operations. 2.UNITED CAPITAL RISK MANAGEMENT, LLC POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business. INVESTMENT RELATED: No NUMBER OF HOURS: 168 SECURITIES TRADING HOURS: 136 START DATE: 01/03/2022 ADDRESS: 401 West Mountain Ave, STE 101, Fort Collins CO 80521, United States DESCRIPTION: Insurance proposal, delivery and policy maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Michael Mertens'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
April 6, 2022 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 401 W. Mountain Ave Suite 101, Fort Collins, CO 80521RIA
CRD#: 134600
Fort Collins, CO
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 401 W Mountain Ave Ste 101, Fort Collins, CO 80521RIA
BD
CRD#: 139627
Fort Collins, CO
Past
February 9, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Fort Collins, CO
Past
April 6, 2022 - November 14, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
FORT COLLINS, CO
Past
August 25, 2017 - December 20, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
August 4, 2017 - December 20, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, 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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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
IAR
Colorado(4/6/2022)
RR
Colorado(11/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Fort Collins, CO 80521TRUST BUT VERIFY
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