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Candace K Swayne

Wms Wealth Management LLC

Mukilteo, WA

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Current Employers
Wms Wealth Management Llc

12189 Greenhaven Suite 108, Mukilteo, WA 98275-6062 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-12-11
  • WA RA
    APPROVED
    Since 2020-12-11

Branch Locations

12189 Greenhaven Suite 108, Mukilteo, WA 98275-6062 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pacific West Securities, Inc. Renton WA 09/2000 05/2017
Sandlapper Wealth Management, Llc Greenville SC 05/2017 10/2020
Wms Wealth Management Llc Mukilteo WA 10/2020 Present
Chelan Ridge Winery Manson WA 01/2022 Present
  • 09/2000 → 05/2017
    Pacific West Securities, Inc.
    Renton, WA
  • 05/2017 → 10/2020
    Sandlapper Wealth Management, Llc
    Greenville, SC
  • 10/2020 → Present
    Mukilteo, WA
  • 01/2022 → Present
    Chelan Ridge Winery
    Manson, WA
Previous Registrations
  • 2017-09-28 → 2020-12-31
    Colony Park Financial Services Llc.
    Seattle, WA
    Greenville, SC
Other Businesses

Name of outside business: Chelan Ridge Winery; Is the business investment related: No; Location of the business: 900 Swartout Road Manson WA-Washington 98831 USA; Description of the business: Chelan Ridge Winery is a Vineyard, wine production facility, tasting room and Wedding venue. ; Position Title: Tasting room support; Responsibilities Duties: Candace assist in the tasting room helping ensure quality operations and a fulfilling experience for all guests. Candace helps manage staff by assisting with wine sales and service, pizza service and customer satisfaction. Start date with business: 2022-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 30;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-28
  • S65 Uniform Investment Adviser Law Examination
    2017-09-28
Other Names
  • Candace K Ko

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