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Snohomish, WA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-03-23 |
| WA | RA | APPROVED | 2020-11-03 |
Branch Locations
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 |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 01/2007 | 10/2020 |
| Sila Financial, Llc | Kenmore | WA | 10/2020 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2020 | Present |
1) 1. Sila financial, LLC 2. Investment related 3. Snohomish, WA 4. Investment Advisory Services 5. President & Chief Compliance Officer 6. 10/2020 7. 145 hrs/mo 8. 80 hrs primarily during trading hours 9. Provide fiduciary-based investment advice to individuals and organizations 2) 1. Fixed Insurance 2. Not investment related 3. Snohomish, WA 4. life insurance and fixed annuity sales 5. Agent 6. 03/2007 7. 5 hrs/mo primary during trading hours 9. Insurance company product sales channel 3) 1. Purshe Kaplan Sterling Investments, Inc. 2. Investment related. 3. 80 State St, Albany NY. 4. Recommending and executing investment products. 5. Registered representative 6. 10/2020 7. 20 hrs/mth primarily during securities trading hours 4) 1. Sno Co Holdings, LLC 2. Not Investment Related 3. At reported address 4. Holding company 5. Member 6. 1/11/2022 7 1 hr 8. 0 hr 9. Management of assets of LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-16 |
| S65 | Uniform Investment Adviser Law Examination | 1995-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1990-04-11 |
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