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JM

James E. Mulzer

PLANWISER FINANCIAL
COLORADO SPRINGS, CO 80907
Some features on this profile are disabled
CRD#: 6834460
JM

Professional summary

James Edward Mulzer II, who also goes by James Edward Mulzer, is a registered financial advisor currently at PLANWISER FINANCIAL located in Colorado Springs, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Edward Mulzer

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 James Edward Mulzer II'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®
None

Experience

Current

August 21, 2024 - Present

PLANWISER FINANCIAL

Office #1: 3710 Sinton Road Suite 100, Colorado Springs, CO 80907
RIA
CRD#: 331675
COLORADO SPRINGS, CO
Past

January 4, 2021 - September 16, 2024

MUTUAL ADVISORS, LLC

RIA
CRD#: 167658
Colorado Springs, CO
Past

October 2, 2017 - January 5, 2021

EDWARD JONES

RIA
CRD#: 250
COLORADO SPRINGS, CO
Past

September 11, 2017 - January 5, 2021

EDWARD JONES

BD
CRD#: 250
COLORADO SPRINGS, 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".
PF
PLANWISER FINANCIAL
PLANWISER FINANCIAL | PLANWISER FINANCIAL, LLC

CRD#: 331675 / SEC#: 801-130873

RIA
Registered Investment Advisory firm - (8/5/2024 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.

Highlighted states indicate IAR registrations

IAR
Colorado
(8/21/2024)
IAR
Texas
(10/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2017
General Securities Representative Examination

Current Firm

PF
PLANWISER FINANCIAL
PLANWISER FINANCIAL | PLANWISER FINANCIAL, LLC

CRD#: 331675 / SEC#: 801-130873

RIA
Registered Investment Advisory firm - (8/5/2024 Approved)
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Contact information

Main Address
3710 Sinton Road Suite 100, Colorado Springs, CO 80907
Mailing Address
Phone number
(719) 822-0808
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (1/15/2026)

Regulatory assets under management

Total Number of Accounts907
AUM (Assets Under Management)$ 134,106,066

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.

Company Information

PLANWISER FINANCIAL

CRD#: 331675Colorado Springs, CO 80907

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