Denise R. Spindler

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CRD#: 6558760

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Denise Regan Spindler, who also goes by Denise Regan Howard, Denise R Howard, was a registered financial professional .

Denise is a previously registered financial professional and started their career in finance in 2016. Denise had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Denise Regan Howard | Denise R Howard

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.

Self Employed Independent Contractor - Providing Office Management for Bethel Retirement Planning, LLC I have a life license to sell life insurance and annuities and receive commissions for those sales Member of Fios Financial LLC, Non Investment Related, Ms. Spindler runs general business expenses through this entity. 22166 E CHERRYWOOD DRIVE QUEEN CREEK, AZ 85142, O hours/month

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 9, 2016 - April 4, 2022

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

Mesa, AZ

Past

March 25, 2016 - April 6, 2016

COLUMBIA ADVISORY PARTNERS, LLC

RIA

CRD#: 171616

SPOKANE, WA

Past

January 27, 2016 - February 26, 2016

RICHFIELD ORION INTERNATIONAL, INC.

CRD#: 24433

CASTLE ROCK, 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".

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 2/10/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2016

General Securities Representative Examination

Current Firm

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

1520 West Canal Court Suite 100, Littleton, CO 80120

Mailing Address

Phone number

(303) 734-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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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Firm Stability Insights

Denise R. Spindler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TUCKER ASSET MANAGEMENT LLC

COLUMBIA ADVISORY PARTNERS, LLC

RICHFIELD ORION INTERNATIONAL, INC.

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2016

SIE

Date: 2/26/2016

Series 7

Date: 1/27/2016

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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