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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-11-03 |
Branch Locations
10900 Ne 4Th Street Ste 2300, #2413, Bellevue, WA 98004 • United States
New Castle, WA • United States
326 Union Avenue Ne Suite 5, Renton, WA 98059 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hornor, Townsend & Kent, Inc. | Bellevue | WA | 04/1998 | 10/2020 |
| Penn Mutual Life Insurance Company | Bellevue | WA | 04/1998 | 10/2020 |
| Pacific Capital Resource Group, Inc. | Bellevue | WA | 04/2001 | Present |
| Osaic Wealth, Inc. | Bellevue | WA | 10/2020 | Present |
1) PACIFIC CAPITAL RESOURCE GROUP, INC. POSITION: Agent/Representative NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 5 START DATE: 10/15/1998 ADDRESS: 10900 NE 4th St, 2300-2413, Bellevue WA 98004, United States DESCRIPTION: Providing comprehensive planning support for life, disability, long term care & medical insurance while doing financial planning for clients 2) GRASS WEALTH MANAGEMENT, LLC POSITION: Member NATURE: Limited Liability Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2015 ADDRESS: 326 Union Ave NE #5, Renton WA 98059, United States DESCRIPTION: The owner of Grass CPA & Assoc (Charles Grass) formed a wealth management division of his CPA firm. He refers clients to me and I meet with them at his firm or my office. The CPA is written in for a certain percentage of the cases and the income goes to Grass wealth management (an LLC he formed to separate his securities income & his CPA income). Charles Grass is fully licensed (series 7 & 66, life/di). I also pay a monthly rent to him for use of his premises and my rent payment is paid to Grass Wealth Management. I do not generate any income from Grass Wealth Management but I am listed on the website as an advisor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-04 |
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