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14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2016-08-01 |
Branch Locations
2505 Walnut St. 2Nd Floor, Boulder, CO 80302 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Boulder | CO | 08/2016 | Present |
| Western Wealth Management, Llc | Boulder | CO | 08/2016 | Present |
(1) 08/01/2016: New West Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - 2505 Walnut St, 2nd Floor, Boulder, CO 80302 - Start 07/31/2016 - 80 Hr/Mo; 20 Hour(s) During Securities Trading; 50% Time Spent (2) 08/03/2016: Western Wealth Management LLC - Registered Investment Advisor DBA - DBA: New West Advisors - Investment Related - 2505 Walnut St., 2nd floor, Boulder, CO 80302 - Start 08/01/2016 - 80 Hr/Mo; 20 Hour(s) During Securities Trading; 100% Time Spent (3) 08/03/2016: Western Wealth Management, LLC - Registered Investment Advisor Hybrid - DBA: (Hybrid) Western Wealth Management - Investment Related - 14143 Denver West Pkwy, Ste. 510, Golden, CO 80401 - Start 08/01/2016 - 80 Hr/Mo; 20 Hour(s) During Securities Trading; 50% Time Spent. (4) 9/22/2017 - David E. Richey, Inc. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/19/2017 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-30 |
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