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107 Spring St. Ste. 4017, Seattle, WA 98104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2018-07-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Privé Suisse S.A. | Geneva | 02/2015 | 03/2018 | |
| Capital Suisse Llc | Seattle | WA | 04/2016 | Present |
| Red Top Advisors Llc | Seattle | WA | 04/2018 | Present |
| Spark Change Group, Inc. | Seattle | WA | 10/2019 | 08/2023 |
| Lombard Works & Co. | Seattle | WA | 08/2023 | Present |
| Spark Change Securities Llc | Seattle | WA | 08/2022 | Present |
Business name: Casual Recovery Enterprises Location: San Francisco, CA Nature of business: Medical device company Role: Advisor/Shareholder Time spent: Less than one hour per month, none during trading hours Start date: August 2022 Duties: Advise on business/sales strategy and partnerships Non-investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-04 |
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