TD
Thomas G. Darden
JIM SAULNIER & ASSOCIATES
Fort Collins, CO 80524
Some features on this profile are disabled
CRD#: 6616518
TD
Professional summary
Thomas Gregory Darden, CFP®, who also goes by Greg Darden, Gregory Darden, Thomas Gregory Darden, Thomas Darden, is a registered financial advisor currently at JIM SAULNIER & ASSOCIATES, LLC located in Fort Collins, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Darden | Gregory Darden | Thomas Gregory Darden | Thomas Darden
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.
Licensed insurance agent
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Gregory Darden'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
September 13, 2019 - Present
JIM SAULNIER & ASSOCIATES, LLC
Office #1: 506 East Mulberry St, Fort Collins, CO 80524RIA
CRD#: 169889
Fort Collins, CO
Past
August 23, 2016 - September 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DURHAM, NC
Past
August 23, 2016 - September 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DURHAM, NC
Past
April 13, 2016 - June 14, 2016
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
JS
JIM SAULNIER & ASSOCIATES, LLC
JIM SAULNIER & ASSOCIATES, LLC
CRD#: 169889 / SEC#: 801-128717
RIA
Registered Investment Advisory firm - (9/11/2023 Approved)California
Registered Investment Advisory firm - (10/20/2023 Terminated)Colorado
Registered Investment Advisory firm - (9/22/2023 Terminated)Illinois
Registered Investment Advisory firm - (10/3/2023 Terminated)New York
Registered Investment Advisory firm - (9/20/2023 Terminated)North Carolina
Registered Investment Advisory firm - (9/28/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/20/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/20/2023 Terminated)Texas
Registered Investment Advisory firm - (9/20/2023 Terminated)Virginia
Registered Investment Advisory firm - (9/21/2023 Terminated)Washington
Registered Investment Advisory firm - (10/20/2023 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.Highlighted states indicate IAR registrations
IAR
North Carolina(9/13/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
JS
JIM SAULNIER & ASSOCIATES, LLC
JIM SAULNIER & ASSOCIATES, LLC
CRD#: 169889 / SEC#: 801-128717
RIA
Registered Investment Advisory firm - (9/11/2023 Approved)California
Registered Investment Advisory firm - (10/20/2023 Terminated)Colorado
Registered Investment Advisory firm - (9/22/2023 Terminated)Illinois
Registered Investment Advisory firm - (10/3/2023 Terminated)New York
Registered Investment Advisory firm - (9/20/2023 Terminated)North Carolina
Registered Investment Advisory firm - (9/28/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/20/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/20/2023 Terminated)Texas
Registered Investment Advisory firm - (9/20/2023 Terminated)Virginia
Registered Investment Advisory firm - (9/21/2023 Terminated)Washington
Registered Investment Advisory firm - (10/20/2023 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
506 East Mulberry St, Fort Collins, CO 80524
Mailing Address
Phone number
(970) 530-0556
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 180,005,463 |
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.
