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1815 North 45Th Street Suite 105, Seattle, WA 98103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-07-01 |
Branch Locations
1815 North 45Th Street Suite 105, Seattle, WA 98103 • United States
1524 Market Street, Suite 100, Kirkland, WA 98033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Valic Financial Advisors | Seattle | WA | 02/2002 | 01/2018 |
| Kms Financial Services, Inc | Seattle | WA | 01/2018 | 11/2020 |
| Securities America, Inc. | Kirkland | WA | 11/2020 | 07/2021 |
| Securities America Advisors, Inc. | Kirkland | WA | 11/2020 | 07/2021 |
| Arbor Point Advisors | Kirkland | WA | 11/2020 | 07/2021 |
| Aspire Capital Advisors Llc | Kirkland | WA | 07/2021 | Present |
| M.S. Howells & Co. | Kirkland | WA | 07/2021 | 08/2022 |
| Kirkland Financial Advisers | Kirkland | WA | 01/2018 | Present |
1.AUG 2008; CONDO ASSOCIATION, MILPITAS, CA; NON INVESTMENT RELATED; PRESIDENT; MAKING DECISIONS ABOUT AND ARRANGING FOR MAINTENANCE, FORWARDING INVOICES TO TREASURER, OR PAYING INVOICES, SETTING AGENDA FOR ASSOCIATION MEETINGS; DEVOTE 1 HR/MONTH DURING NON MARKET HOURS. 2. AUG 2018; PERSONAL RENTAL PROPERTY MANAGEMENT, NEWCASTLE, WA; NON INVESTMENT RELATED; PERSONAL PROPERTY MANAGER; FIND SUITABLE TENANTS, COLLECT RENT, DIRECT MAINTENANCE AND REPAIRS; DEVOTE 4 HRS/MONTH DURING NON MARKET HOURS. 3. JAN 2018; LIFE INSURANCE SALES, NEWCASTLE, WA; NON INVESTMENT RELATED; LIFE/LTC INSURANCE AGENT; SELL LIFE AND LONG TERM CARE INSURANCE TO CLIENTS WHERE APPROPRIATE; DEVOTE 10 HRS/MONTH, 7 HRS DURING MARKET HOURS. 4. JAN 2018; KIRKLAND FINANCIAL ADVISERS, KIRKLAND, WA; INVESTMENT RELATED; MARKETING DBA; INVESTMENT ADVISOR REPRESENTATIVE; PROVIDE ADVISORY MONEY MANAGEMENT; DEVOTE 150 HRS/MONTH, 100 HRS/MONTH DURING MARKET HOURS. 5. JULY 2021; ASPIRE CAPITAL ADVISORS, SEATTLE, WA; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; INVESTMENT ADVISORY REPRESENTATIVE; PROVIDE INVESTMENT MANAGEMENT; DEVOTE 150 HRS/MONTH, 100 HRS/MONTH DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-01-16 |
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