AG
Austyn R. Garcia
DENVER WEALTH MANAGEMENT
DENVER, CO 80237
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CRD#: 7005961
AG
Professional summary
Austyn R Garcia is a registered financial advisor currently at DENVER WEALTH MANAGEMENT, INC. located in Denver, Colorado and LPL FINANCIAL LLC located in Denver, Colorado.
Austyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Austyn has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Austyn is dually-registered with DWM and LPL Financial LLC "LPL". Austyn has served as an investment advisor representative for DWM and a registered representative with LPL since 01/2021. Business is conducted from 5299 DTC Blvd, Suite 1350, Greenwood Village, CO 8011. Approximately 90% of Austyn's time is for services as an investment advisor representative and the balance as a registered representative. 2) Treasurer; Tech Center Toasters; Since 08/07/2019; 5299 DTC Blvd., Suite 1350, Greenwood Village, CO 80111; Non-investment related; No compensation; Approximately 10 hours spent per month 3) Co-Owner; Super Bear Properties, LLC; Since 06/01/22; 1691 West Canal Circle, 1137, Littleton, CO 80120; Investment related; Compensated; Approximately 0 hours spent per month 4) Licensed Insurance Agent; Not Investment-Related; Same as reported business location; Insurance Sales; XX percent of time per month; recommendation and implementation of insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Austyn R Garcia'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®
NoneExperience
Current
July 1, 2021 - Present
DENVER WEALTH MANAGEMENT, INC.
Office #1: 4582 S Ulster St. Suite 1300, Denver, CO 80237RIA
CRD#: 284868
DENVER, CO
Current
February 22, 2021 - Present
LPL FINANCIAL LLC
Office #1: 4582 S Ulster St Ste 1300, Denver, CO 80237RIA
BD
CRD#: 6413
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".
DW
DENVER WEALTH MANAGEMENT, INC.
DENVER WEALTH MANAGEMENT INC. | SUMMIT WEALTH ADVISORS | PROVIDENCE CAPITAL PARTNERS INC. | PROVIDENCE CAPITAL PARTNERS | DENVER WEALTH MANAGEMENT, INC.
CRD#: 284868 / SEC#: 801-114166
RIA
Registered Investment Advisory firm - (10/19/2018 Approved)Arizona
Registered Investment Advisory firm - (10/23/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)New Mexico
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 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.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
RR
Arizona(4/26/2024)
RR
California(10/24/2023)
RR
Colorado(2/22/2021)
IAR
Colorado(7/1/2021)
RR
Michigan(12/6/2024)
RR
New Mexico(9/6/2023)
RR
Texas(10/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DENVER WEALTH MANAGEMENT, INC.
DENVER WEALTH MANAGEMENT INC. | SUMMIT WEALTH ADVISORS | PROVIDENCE CAPITAL PARTNERS INC. | PROVIDENCE CAPITAL PARTNERS | DENVER WEALTH MANAGEMENT, INC.
CRD#: 284868 / SEC#: 801-114166
RIA
Registered Investment Advisory firm - (10/19/2018 Approved)Arizona
Registered Investment Advisory firm - (10/23/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)New Mexico
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4582 S Ulster St. Suite 1300, Denver, CO 80237
Mailing Address
Phone number
(303) 261-8015
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,213 |
| AUM (Assets Under Management) | $ 435,735,676 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DENVER WEALTH MANAGEMENT, INC.
CRD#: 284868Denver, CO 80237TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
