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2 Grand Central Tower 140 E 45Th Street, 28Th Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-07-03 |
Branch Locations
2 Grand Central Tower 140 E 45Th Street, 28Th Floor, New York, NY 10017 • United States
1420 Fifth Avenue Suite 2219, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Seattle | WA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 11/2016 | 07/2019 |
| Summit Trail Advisors, Llc | Seattle | WA | 07/2019 | Present |
| Summit Trail Securities, Llc | Seattle | WA | 07/2019 | Present |
1). RENTAL PROPERTY; INVESTMENT RELATED; SEATTLE, WA; START DATE 5/1999; 1 HR PER MONTH; 0 HRS DURING TRADING. 2). Summit Trail Advisors, Investment-related, 140 E 45th 28/F New York, NY 10017, RIA, Advisor, 07/03/2019, 40 hours/month, 8 hours/month during securities trading hours, investment advice. 3). The Advisor, in their individual capacity, serves in various roles for certain client trusts of the affiliated investment adviser and may receive separate compensation from the trusts for doing so. The Advisor may devote up to 2 hours a month during normal trading hours to these activities. September 2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-21 |
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