David R Uhlmann

Current Employers

Synergos Advisory

1700 Westlake Ave N Suite 200, Seattle, WA 98109 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-07-19
WA	RA	APPROVED	2019-07-24

TX RA
APPROVED_RES

Since 2023-07-19
WA RA
APPROVED

Since 2019-07-24

Branch Locations

1700 Westlake Ave N Suite 200, Seattle, WA 98109 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Hilo	HI	04/2011	03/2019
Synergos Advisory Llc	Seattle	WA	03/2019	Present

04/2011 → 03/2019

Ameriprise Financial Services, Inc.

Hilo, HI
03/2019 → Present

Synergos Advisory Llc

Seattle, WA

Previous Registrations

2011-04-21 → 2019-03-18

Ameriprise Financial Services, Llc

Kailua-Kona, HI

Hilo, HI

Kamuela, HI

Honolulu, HI

Honolulu, HI

Honolulu, HI
2007-01-20 → 2011-04-25

Edward Jones

Hilo, HI

St Louis, MO

Mountain View, HI

Hilo, HI

Other Businesses

-Other business: Praxeos Systems LLC -Non-investment related -Address: 508 Yale Ave N PMB 363, Seattle, WA 98109 -Nature of business: Development of software tools and workflow automation solutions for financial advisors - Managing member - 6/1/2025 - 20 hours per month outside of Synergos Advisory's business hours. None during trading hours. - Duties: Oversee the design and development of financial technology tools used by advisors. No investment advisory services are provided, and no clients of Synergos Advisory LLC are solicited, referred, or involved in this business.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-17

S66 Uniform Combined State Law Examination

2007-01-17

Designations

View on SEC IAPD