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1515 Sw 5Th Ave., Suite 606, Portland, OR 97201-5449 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-01-02 |
| TX | RA | APPROVED_RES | 2020-04-09 |
| OR | RA | APPROVED | 2008-07-17 |
Branch Locations
1515 Sw 5Th Ave., Suite 606, Portland, OR 97201-5449 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Marquam Asset Management Llc | Portland | OR | 07/2008 | Present |
| Hp Securities, Inc | Portland | OR | 01/2010 | 12/2023 |
(1) MARQUAM ASSET MANAGEMENT LLC DBA MARQUAM CAPITAL, PORTLAND, OR; INVESTMENT-RELATED; DESCRIPTION: OVERSEE ALL COMPLIANCE-RELATED ACTIVITIES OF RIA; POSITION: CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISOR; START DATE 07/2008. HOURS DEDICATED: 80HRS/MO ALL DURING TRADING HOURS. (2) RFI FOUNDATION, UNITED KINGDOM; NON-INVESTMENT RELATED; DESCRIPTION: NONPROFIT ORGANIZATION PROVIDING RESEARCH AND EDUCATION RELATING TO RESPONSIBLE FINANCE; POSITION: CEO; START DATE: 08/2015; HOURS DEDICATED: 80 HRS/MONTH MOSTLY OUTSIDE OF TRADING HOURS. (3) PT Hurriyah Global Consulting Firm, Non-Investment Related, Member of the Panel of Experts, Hours dedicated - 1 hours per week, Non-paid position, start date 3/2023
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-02-03 |
| S65 | Uniform Investment Adviser Law Examination | 2007-08-01 |
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