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Highlands Ranch, CO • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-02-25 |
| CO | RA | APPROVED | 2016-09-26 |
| CA | RA | APPROVED | 2016-09-22 |
| IL | RA | APPROVED | 2016-09-16 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avant-Garde Advisors Llc | Denver | CO | 06/2011 | 10/2016 |
| Wealthsource Partners, Llc | Centennial | CO | 01/2016 | 10/2016 |
| Prima Wealth | Highlands Ranch | CO | 09/2016 | Present |
1) LANE MARK WEINTRAUB - SOLE PROPRIETOR; INVESTMENT-RELATED BUSINESS; 9155 E. NICHOLS AVENUE, CENTENNIAL, COLORADO 80112; INSURANCE SALES; INSURANCE AGENT; MARCH 3, 2006 START DATE; 2 HOURS PER MONTH DEVOTED TO INSURANCE SALES; 0 HOURS PER DAY DURING SECURITIES TRADING HOURS DEVOTED TO INSURANCE SALES; INSURANCE SALES RESPONSIBILITIES. 2) ROCKY MOUNTAIN INVESTMENT MANAGEMENT LLC; NOT INVESTMENT RELATED; 6865 OSPREY COURT, HIGHLANDS RANCH, COLORADO, 80130; SHELL COMPANY; OWNER; FEBRUARY 23, 2011; 0 HOURS/MONTH DEVOTED TO ROCKY MOUNTAIN INVESTMENT MANAGEMENT LLC; 0 HOURS/DAY DEVOTED DURING SECURITIES TRADING HOURS TO ROCKY MOUNTAIN INVESTMENT MANAGEMENT LLC; RESPONSIBLE FOR ALL FUNCTIONS AND DUTIES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-18 |
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