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1800 Glenarm Place Suite 703, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2019-06-24 |
| TX | RA | APPROVED | 2017-09-06 |
| CO | RA | APPROVED | 2016-08-17 |
Branch Locations
1800 Glenarm Place Suite 703, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Matthew Hickey, Sole Proprietor | Denver | CO | 08/1984 | Present |
| First Allied Securities Inc | Denver | CO | 05/2008 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 12/2019 |
| Capital Asset Management, Llc | Denver | CO | 06/2016 | Present |
| Cetera Advisors Llc | Denver | CO | 09/2022 | Present |
1. JGMJ, LLC; OWNER; REAL ESTATE; START DATE 07/01/2015; 0 HOURS PER MONTH. 2. CAPITAL ASSET MANAGEMENT, LLC; SOLE PROP; DBA; START DATE: 06/01/1986; 4 HOURS PER MONTH. 3. CAPITAL ASSET MANAGEMENT, LLC; OWNER; REGISTERED INVESTMENT ADVISOR; START DATE: 04/01/2014; 160 HOURS PER MONTH. 4. NAME OF OTHER BUSINESS: ORCHARD DRIVE HOA; INVESTMENT RELATED: NO; ADDRESS: 5950 S OGDEN CT CENTENNIAL, CO 80121; NATURE OF BUSINESS: HOME OWNERS ASSOCIATION; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ARRANGE ANNUAL MEETINGS, ENSURE MEETING MINUTES ARE TAKEN BY SECRETARY; 5. NAME OF OTHER BUSINESS: RIVERSIDE CLUB COMPANY; INVESTMENT RELATED: NO; ADDRESS: ORCHARD, CO 80649; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST IN THE GENERAL DIRECTION OF THE CLUB, WATERFOWL HUNTING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-01 |
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