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Kirkland, WA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-18 |
| WA | RA | APPROVED | 2020-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 02/2011 | 11/2019 |
| Bank Of America, N.A. | Seattle | WA | 06/2011 | 12/2019 |
| Sound Legacy Wealth Advisors, Llc | Bellevue | WA | 01/2020 | Present |
1. RENTAL PROPERTY; INVESTMENT RELATED; BELLEVUE, WA; RENTAL; 11/11; 5 HOURS DEVOTED PER MONTH/0 DURING TRADING HOURS; MANAGEMENT OF RENTAL. 2. ROTARY CLUB OF EMERALD CITY; NOT INVESTMENT RELATED; SEATTLE, WA; VOLUNTEER; 7/19; 2 HOURS DEVOTED PER MONTH/0 DURING TRADING HOURS; MEMBER/BOARD OF TRUSTEES. 3. Streamline Digital Holdings LLC; Investment related: No; 383 Inverness Parkway Englewood CO 80112 USA; Licensed reseller of streaming technology.; Board member; 2023-01-03; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Oversight and strategy. 4. Simutron Capital LLC; Investment related: Yes; 10900 NE 4th St, Ste 2300 Bellevue WA 98004 United States; Single member LLC investment vehicle for a client of our firm.; Manager; 2023-01-02; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Administer the LLC and execute client's investment instructions. 5. Circinus Capital LLC; Investment related: Yes; 10900 NE 4th St, Ste 2300 Bellevue WA 98004 United States; Single member LLC investment vehicle for a client of our firm; Manager; 2023-01-02; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Administration of the LLC and execution of client investment instructions. 6. Name of outside business: Snikrep Real Estate LLC; Is the business investment related: Yes; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004 United States; Description of the business: This is a client's real estate investment holding company.; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2024-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; 7. Name of outside business: Xist.GG; Is the business investment related: No; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004 United States; Description of the business: Software Programing; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2024-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; 8. Name of outside business: Reeplayer, Inc.; Is the business investment related: No; Location of the business: 3426 Mentone Ave Los Angeles CA 90034; Description of the business: Manufacturer and seller of AI bases sports cameras; Position Title: Board Member; Responsibilities Duties: Board of Directors; Start date with business: 2025-04-07; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Website address for the organization: www.reeplayer.com. 9. Name of outside business: Snikrep Navillus LLC; Is the business investment related: No; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004; Description of the business: Holding entity for client owned residential real estate; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2025-03-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0. 10. Kirkland Community Foundation; Board Member; Not Investment Related; 603 4th Ave, Suite 500 Kirkland WA 98033; Description: community foundation; Responsibilities: Oversight, planning, fundraising; 2025-07-01; 0 of 2 Hours per month devoted to business during trading hours; No compensation received.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-30 |
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