Nicole A. Baranda

SHARKEY HOWES & JAVER

Denver, CO 80246-1904

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CRD#: 7135423

Professional summary

Nicole Aurea Baranda, who also goes by Nicole A Baranda, Nicole Baranda, is a registered financial advisor currently at SHARKEY HOWES & JAVER INC located in Denver, Colorado.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Nicole has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole A Baranda | Nicole Baranda

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 Nicole Aurea Baranda'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

July 11, 2025 - Present

SHARKEY HOWES & JAVER INC

Office #1: 720 South Colorado Blvd Suite 600 South Tower, Denver, CO 80246-1904

RIA

CRD#: 106050

Denver, CO

Past

December 15, 2020 - April 9, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

November 23, 2020 - April 9, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, 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".

SHARKEY HOWES & JAVER INC

SHARKEY HOWES & JAVER INC | SHJ WEALTH ADVISORS | SHARLEY HOWES & JAVER INC

CRD#: 106050 / SEC#: 801-38328

RIA

Registered Investment Advisory firm - (2/28/1991 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
(7/11/2025)

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: 12/15/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/23/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/28/2020

Securities Industry Essentials Examination

Current Firm

SHARKEY HOWES & JAVER INC

SHARKEY HOWES & JAVER INC | SHJ WEALTH ADVISORS | SHARLEY HOWES & JAVER INC

CRD#: 106050 / SEC#: 801-38328

RIA

Registered Investment Advisory firm - (2/28/1991 Approved)

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Contact information

Main Address

720 South Colorado Blvd Suite 600 South Tower, Denver, CO 80246-1904

Mailing Address

Phone number

(303) 639-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FIRM BROCHURE PART 2A & 2B 021424 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	2,390
AUM (Assets Under Management)	$ 917,028,734

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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Nicole A. Baranda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Aurea Baranda's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHARKEY HOWES & JAVER INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SHARKEY HOWES & JAVER INC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2020

Series 7TO

Date: 11/23/2020

SIE

Date: 9/28/2020

Current Firm

SHARKEY HOWES & JAVER INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHARKEY HOWES & JAVER INC

TRUST BUT VERIFY

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