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4314 Bagley Ave N, Seattle, WA 98103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2010-10-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lin Capital Management, Llc | Issaquah | WA | 01/2014 | Present |
| Ceros Financial Services, Inc. | Issaquah | WA | 03/2016 | Present |
Seattle Chinese Culture and Arts Association; Board Member of Non-Profit Organization; Director; 5 hours per month; 0 Hours during trading day; Not Investment Related. Lin Capital Management, Issaquah, Washington; Investment Advisor for a private fund; Management of private fund, including portfolio management and allocation of client assets; Officer; 100 Hours per month; 20 Hours per week during trading day; Partner; Investment Related. Tree Ring Capital Management; Issaquah, Washington; Investment Adviser to Mutual Fund; Management of a mutual fund, including portfolio allocation, trading and reporting; officer; 100 hours per month; 20 hours per week during trading day; Owner; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-05-04 |
| S65 | Uniform Investment Adviser Law Examination | 2010-02-20 |
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