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Current Employers
Waterrock Global Asset Management

29 148Th Ave Se, Bellevue, WA 98007 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-30
OR RA APPROVED 2024-11-30
AZ RA APPROVED 2021-05-05
WA RA APPROVED 2020-11-02
  • CA RA
    APPROVED
    Since 2024-11-30
  • OR RA
    APPROVED
    Since 2024-11-30
  • AZ RA
    APPROVED
    Since 2021-05-05
  • WA RA
    APPROVED
    Since 2020-11-02

Branch Locations

Scottsdale, AZ • United States

29 148Th Ave Se, Bellevue, WA 98007 • United States

Forefront

7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-30
HI RA APPROVED 2024-11-30
AZ RA APPROVED 2024-11-27
MN RA APPROVED 2024-11-18
WA RA APPROVED 2024-11-18
  • CA RA
    APPROVED
    Since 2024-11-30
  • HI RA
    APPROVED
    Since 2024-11-30
  • AZ RA
    APPROVED
    Since 2024-11-27
  • MN RA
    APPROVED
    Since 2024-11-18
  • WA RA
    APPROVED
    Since 2024-11-18

Branch Locations

Scottsdale, AZ • United States

7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735 • 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
Trajan Wealth, Llc Scottsdale AZ 06/2017 01/2020
Us Bank Scottsdale AZ 12/2015 06/2017
Foundations Investment Advisors, Llc Scottsdale AZ 06/2017 06/2018
Ashton Thomas Private Wealth Scottsdale AZ 01/2020 10/2020
Waterrock Global Asset Management Llc Bellevue WA 10/2020 Present
Logia Portfolio Management Llc Leawood KS 01/2021 06/2021
First Western Trust Denver CO 08/2021 08/2022
Forefront Austin TX 11/2024 Present
  • 06/2017 → 01/2020
    Scottsdale, AZ
  • 12/2015 → 06/2017
    Us Bank
    Scottsdale, AZ
  • 06/2017 → 06/2018
    Scottsdale, AZ
  • 01/2020 → 10/2020
    Scottsdale, AZ
  • 10/2020 → Present
    Waterrock Global Asset Management Llc
    Bellevue, WA
  • 01/2021 → 06/2021
    Logia Portfolio Management Llc
    Leawood, KS
  • 08/2021 → 08/2022
    First Western Trust
    Denver, CO
  • 11/2024 → Present
    Austin, TX
Previous Registrations
Other Businesses

1) ORION FIRST FINANCIAL, LLC, NON-INVESTMENT RELATED, EQUIPMENT LEASE SERVICING 5210 OLYMPIC DRIVE NW SUITE 210 GIG HARBOR WA 98335. MINORITY OWNER, APPROX 3%, MEMBER OF ADVISORY BOARD, 3 HOURS/MONTH. NO HOURS DEVOTED DURING SECURITIES TRADING HOURS. PRIMARY DUTY IS SERVING IN THE CAPACITY OF A MEMBER OF THE ADVISORY BOARD. 2) Nokaoi Management LLC, Not investment related, currently does not actively conduct business 4) HI Revitalize Inc., Not investment related, Drip bar franchise Co-Owner via retirement plan, less than 5 hours per month.

Designations

View on SEC IAPD

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