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Scott Patrick Caufield

Sophos Wealth Management

Woodinville, WA

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Current Employers
Sophos Wealth Management

Woodinville, WA • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-03-31
  • WA RA
    APPROVED
    Since 2021-03-31

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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pacific Value, Llc Boise ID 05/2010 01/2020
Unemployed Bellevue WA 01/2020 02/2021
Sophos Wealth Management, Llc Woodinville WA 02/2021 Present
  • 05/2010 → 01/2020
    Pacific Value, Llc
    Boise, ID
  • 01/2020 → 02/2021
    Unemployed
    Bellevue, WA
  • 02/2021 → Present
    Sophos Wealth Management, Llc
    Woodinville, WA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-03
  • S65 Uniform Investment Adviser Law Examination
    2010-11-03

View on SEC IAPD

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