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6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-03 |
| WA | RA | APPROVED | 2013-01-28 |
Branch Locations
5920 100Th St Sw, Unit 7, Lakewood , WA 98499 • United States
6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
23605 Mt. Hwy East, Unit 3, Spanaway, WA 98387 • 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 |
|---|---|---|---|---|
| Steve Sarwono-Self Employed | University Place | WA | 07/2010 | Present |
| Pursuit Of Happiness Llc | Tacoma | WA | 01/2012 | 03/2022 |
| Planmember Securities Corporation | Carpinteria | CA | 01/2013 | Present |
| Northwest Advisor Group Llc | Tacoma | WA | 08/2013 | 12/2022 |
| Batik Financial | Lakewood | WA | 03/2020 | Present |
| Steve Sarwono Llc Dba Batik Financial | Lakewood | WA | 05/2011 | Present |
| Quad Sn Llc | Lakewood | WA | 11/2022 | Present |
(1) STEVE SARWONO-SELF EMPLOYED, 5920 100th St SW, Unit 7, Lakewood WA 98499; INVESTMENT RELATED; INSURANCE SALES & SVCS; INDEPENDENT AGENT; START DATE 7/10; 20 HRS/MNTH; 10 HRS/MNTH DURING TRADING. (2) STEVE SARWONO LLC DBA BATIK FINANCIAL; 5920 100th St. SW, Unit 7, Lakewood WA 98499; Start Date; 05/19/2011; Proprietor; Batik Financial provides financial planning and retirement planning to clients. We also offer life insurance and LTC insurance; NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160; IR (3) QUAD SN LLC; 5920 100th St SW, Unit 7, Lakewood WA 98499; START DATE: 11/09/2022; third party seller on Amazon & eBay; Sells consumer electronics and video games as a third-party seller via Amazon and eBay; NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0; NIR (4) CAMPUS CREST HOMEOWNERS ASSOCIATION; 4816 70th Ave W, University Place WA 98467; Start Date: 01/01/2022; Board Member/Secretary; Meet a few times a year to discuss HOA business; 2 hrs/mo; o hrs/mo during trading; NIR
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-29 |
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