James Michael Wenger
Professional Summary
James Michael Wenger, who also goes by Jimmy Michael Wenger, is a registered financial advisor currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado. James is registered as a RR (Registered Representative) and started their career in finance in 2020. James has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jimmy Michael Wenger
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.
Contact Information
Main Address
1290 Broadway Suite 1000, Denver, CO 80203Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203Phone Number
(303) 623-2577Established
Colorado since 07/01/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
4Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
State Registrations and Notice Filings
(9/30/2020)
(9/22/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - BD
Click below to view James Michael Wenger's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC