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Trisha A Sanidad

Mainspring Wealth Advisors

Bellevue, WA

CRD 4251127

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Employer firm

Mainspring Wealth Advisors CRD 288790

Reported services (Item 5G)

  • THIS IS FOR BRANDING ONLY / SERVICES AND INVESTMENT ADVISORY THROUGH RAYMOND JAMES. REFER TO SCHEDULE D - MISC FOR ADD'AL INFO

From the firm’s Form ADV. Read the guides:

Current Employers
Mainspring Wealth Advisors

11400 Se 8Th St. Suite 260, Bellevue, WA 98004-6470 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-10-14
  • WA RA
    APPROVED
    Since 2020-10-14

Branch Locations

11400 Se 8Th St. Suite 260, Bellevue, WA 98004-6470 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Bellevue WA 05/2015 Present
Raymond James Financial Services Advisors Inc. Bellevue WA 05/2018 Present
Mainspring Wealth Advisors, Llc Bellevue WA 05/2015 Present
Mainspring Wealth Advisors, Llc Bellevue WA 10/2020 Present
  • 05/2015 → Present
    Raymond James Financial Services
    Bellevue, WA
  • 05/2018 → Present
    Bellevue, WA
  • 05/2015 → Present
    Mainspring Wealth Advisors, Llc
    Bellevue, WA
  • 10/2020 → Present
    Mainspring Wealth Advisors, Llc
    Bellevue, WA
Previous Registrations
Other Businesses

1) Mainspring Wealth Advisors, LLC Address: Bellevue, WA Nature of the Business: Independent RIA Position/Title: Chief Compliance Officer Investment Related:Yes Start Date: 09/22/2020 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Chief Compliance Officer - for IA - for branding purposes 2) : Raymond James Financial Services Inc. Address: Bellevue, WA Nature of the Business: Wealth Management/Financial Planning Support Company/DBA (Non-Owner) Position/Title: Financial Advisor/Investment Adviser Representative Investment Related: Yes Start Date: 05/2015 Hours per month devoted to this business: 160 Description of duties: Registered Principal

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-11
S63 Uniform Securities Agent State Law Examination 2012-08-23
  • S65 Uniform Investment Adviser Law Examination
    2018-05-11
  • S63 Uniform Securities Agent State Law Examination
    2012-08-23
Other Names
  • Tia Van Gaver
  • Trisha Sanidad
  • Trisha Anne Van Gaver

View on SEC IAPD

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