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One Financial Center, Boston, MA 02111-2621 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Distributors, Inc. | Denver | CO | 03/2019 | 05/2022 |
| Colleen Denzler Strategy Partners | Boulder | CO | 03/2018 | 03/2019 |
| Colleen Denzler Strategy Partners | Boulder | CO | 10/2014 | 10/2017 |
| First Affirmative Financial Network | Colorado Springs | CO | 10/2017 | 03/2018 |
| Smith Capital Investors, Llc | Denver | CO | 03/2019 | 05/2022 |
| Loomis, Sayles & Company, L.P. | Boston | MA | 05/2022 | Present |
CU BOULDER ENTERPRISE CORPORATION SUB (CUBEC), INVESTMENT RELATED, 90 UCB BOULDER CO 80309, CUBEC SUB IS A FOR PROFIT ARM OF CUBEC THAT LEADS LIMITED PARTNER OF BUFF FUND, DIRECTOR, 3 HRS/MON, 3 HRS/MON DURING TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-19 |
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