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Stephen Richard Searle

Evergreen Investment Management, LLC

Highlands Ranch, CO

CRD 728122

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Employer firm

Evergreen Investment Management, LLC CRD 289979

$13.0M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Evergreen Investment Management, Llc

Highlands Ranch, CO • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-10-23
AZ RA APPROVED 2017-12-13
  • CO RA
    APPROVED
    Since 2020-10-23
  • AZ RA
    APPROVED
    Since 2017-12-13

Branch Locations

Highlands Ranch, CO • 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
Evergreen Investment Management, Llc Scottsdale AZ 12/2017 04/2020
Ameriprise Financial Services, Inc. Scottsdale AZ 10/2009 12/2017
Evergreen Investment Management, Llc Highlands Ranch CO 04/2020 Present
Previous Registrations
  • 2009-10-05 → 2017-12-18
    Ameriprise Financial Services, Llc
    Scottsdale, AZ
    Phoenix, AZ
    Scottsdale, AZ
  • 2009-07-06 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-02
S63 Uniform Securities Agent State Law Examination 1981-04-13
  • S65 Uniform Investment Adviser Law Examination
    2009-07-02
  • S63 Uniform Securities Agent State Law Examination
    1981-04-13
Other Names
  • Steve Searle

View on SEC IAPD

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