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345 California Street Suite 600, San Francisco, CA 94104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-12 |
| CO | RA | APPROVED | 2024-09-11 |
Branch Locations
4B Inverness Court East Suite 250, Englewood, CO 80112 • United States
345 California Street Suite 600, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Denver Pwm, Llc | Denver | CO | 08/2015 | Present |
| First Financial Equity Corporation | Greenwood Village | CO | 08/2015 | 09/2017 |
| Harmony Private Client Advisers | Denver | CO | 08/2015 | Present |
| Farther Finance Advisors | Denver | CO | 09/2024 | Present |
Vista Private Wealth Partners, LLC, Assistant Compliance Officer. This role is a limited consulting engagement with Vista on which she spends approximately 6 hours per month. Sherri Lyn Gilligan holds an insurance license to sell limited insurance products. It is anticipated that a small portion, less than (10%) of her time, will be spent providing these insurance products. She may receive compensation from selling insurance products and therefore receive economic benefit for this activity. Sherri Lyn Gilligan does business as Harmony Private Client Advisers to market the services she provides.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-05 |
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