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Current Employers
Tradewinds Capital Management, Llc

2211 Rimland Drive Suite 401, Bellingham, WA 98226 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-06-19
WA RA APPROVED 2008-10-31
  • TX RA
    APPROVED
    Since 2018-06-19
  • WA RA
    APPROVED
    Since 2008-10-31

Branch Locations

2211 Rimland Drive Suite 401, Bellingham, WA 98226 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tradewinds Capital Management Bellingham WA 03/2008 Present
  • 03/2008 → Present
    Tradewinds Capital Management
    Bellingham, WA
Previous Registrations
  • 2007-03-22 → 2008-03-19
    St Louis, MO
    Bellingham, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-20
S63 Uniform Securities Agent State Law Examination 2006-06-09
  • S66 Uniform Combined State Law Examination
    2007-03-20
  • S63 Uniform Securities Agent State Law Examination
    2006-06-09
Designations

View on SEC IAPD

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