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Chris Randall Folgmann

Folgmann Financial Group LLC

Woodinville, WA

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Current Employers
Folgmann Financial Group Llc

Woodinville, WA • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-08-21
  • WA RA
    APPROVED
    Since 2020-08-21

Branch Locations

Woodinville, WA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab Woodinville WA 09/2020 Present
J.W. Cole Advisor Inc. Tampa FL 05/2013 08/2020
  • 09/2020 → Present
    Charles Schwab
    Woodinville, WA
  • 05/2013 → 08/2020
    J.W. Cole Advisor Inc.
    Tampa, FL
Previous Registrations
  • 2013-05-10 → 2020-08-25
    J. W. Cole Advisors, Inc.
    Tampa, FL
    Woodinville, WA
    Woodinville, WA
  • 2009-08-14 → 2013-05-10
    Financial Advisers Of America, Llc
    Irvine, CA
    Carlsbad, CA
  • 2001-12-03 → 2009-08-14
    Cetera Wealth Services, Llc
    Irvine, CA
    Irvine, CA
    Newport Beach, CA
  • 2007-05-10 → 2008-03-20
    Benefit Financial Services Group
    Irvine, CA
  • 2005-01-13 → 2007-06-01
    Benefit Funding Services Group
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-24
S63 Uniform Securities Agent State Law Examination 1994-05-20
  • S65 Uniform Investment Adviser Law Examination
    1997-11-24
  • S63 Uniform Securities Agent State Law Examination
    1994-05-20

View on SEC IAPD

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