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Adrian Sean Johnson

Pugh Capital Management, Inc.

Seattle, WA

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Current Employers
Pugh Capital Management, Inc.

1700 7Th Avenue Suite 1510, Seattle, WA 98101 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2018-01-16
  • WA RA
    APPROVED
    Since 2018-01-16

Branch Locations

1700 7Th Avenue Suite 1510, Seattle, WA 98101 • 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
City National Bank Beverly Hills CA 11/2007 12/2017
Rim Securities New York NY 09/2012 12/2017
Rochdale Investment Management New York NY 09/2012 12/2017
Pugh Capital Management, Inc. Seattle WA 01/2018 Present
  • 11/2007 → 12/2017
    City National Bank
    Beverly Hills, CA
  • 09/2012 → 12/2017
    Rim Securities
    New York, NY
  • 09/2012 → 12/2017
    Rochdale Investment Management
    New York, NY
  • 01/2018 → Present
    Pugh Capital Management, Inc.
    Seattle, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-16
S65 Uniform Investment Adviser Law Examination 1999-12-17
S63 Uniform Securities Agent State Law Examination 1998-05-01
  • S66 Uniform Combined State Law Examination
    2013-05-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-17
  • S63 Uniform Securities Agent State Law Examination
    1998-05-01
Other Names
  • Sean Johnson

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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