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801 Second Ave Suite 1400, Seattle, WA 98104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-08-02 |
Branch Locations
801 Second Ave Suite 1400, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investing | Seattle | WA | 09/2015 | 11/2016 |
| Capital One Investing, Llc | Seattle | WA | 06/2017 | 06/2019 |
| Unemployed | Brier | WA | 11/2016 | 06/2017 |
| Capital One Advisors, Llc | Seattle | WA | 07/2017 | Present |
| Sharebuilder 401K | Seattle | WA | 07/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2016-05-20 |
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