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Detailed Report
DOUGLAS WILLIAM AUMONT
DOUG WILLIAM AUMONT
CRD#: 6435395
IA
Investment Adviser
B
Broker
ARKADIOS WEALTH ADVISORSCRD#: 288863 8400 East Crescent Parkway
6th Floor
Greenwood Village, CO 80111
ARKADIOS CAPITALCRD#: 282710 4600 S. Syracuse Street 9th Floor
Denver, CO 80237
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2017 - 2020 (3 years)2 FIRMS2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2015 - 2017 (1 year)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2015 - 2015 (<1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2016 - 2017 (<1 year)
License(s)

State Registrations

B
Colorado 10/13/2020
B
Idaho 10/13/2020
IA
Colorado 10/13/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ARKADIOS WEALTH ADVISORS (CRD#:288863)
8400 East Crescent Parkway 6th Floor, Greenwood Village, CO 80111
Registered with this firm since 10/13/2020
B
ARKADIOS CAPITAL (CRD#:282710)
4600 S. Syracuse Street 9th Floor, Denver, CO 80237
Registered with this firm since 10/13/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2017 - 10/14/2020 SPC (CRD#:110692) Idaho Falls, ID
B
 01/03/2017 - 10/14/2020 PARKLAND SECURITIES, LLC (CRD#:115368) IDAHO FALLS, ID
IA
 07/06/2016 - 01/05/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) GREENWOOD VILLAGE, CO
B
 08/19/2015 - 01/04/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) GREENWOOD VILLAGE, CO
B
 04/27/2015 - 07/15/2015 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) CENTENNIAL, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.