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2237 W. 30Th Avenue, Denver, CO 80211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-17 |
| CA | RA | APPROVED | 2025-01-01 |
| CO | RA | APPROVED | 2025-01-01 |
| FL | RA | APPROVED | 2025-01-01 |
| PA | RA | APPROVED | 2018-02-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mainline West Llc | Denver | CO | 03/2008 | Present |
| Mainline West Fund Manager | Denver | CO | 03/2008 | Present |
MainLine West, LLC - 2237 W. 30th Avenue, Denver, CO 80211. Senior Vice President. Investing and Management. Approximately 36 hours per week, during business hours. MainLine West Fund Manager, LLC is a wholly owned subsidiary of MainLine West, LLC, so the work performed for MainLine West includes responsibilities for MainLine West Fund Manager, LLC. MainLine West Fund Manager, LLC manages tax-advantaged proprietary funds under the names MainLine West Tax-Advantaged Opportunity Funds and MainLine West Private Client Trusts, all of which are disclosed on Form ADV for MainLine West Fund Manager, LLC. This RR is an employee of the broker-dealer, but salary expenses are shared between MainLine West, LLC and MainLine West Municipal Securities, LLC pursuant to an established expense-sharing agreement between the entities.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-06-28 |
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