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320 E Dalby Rd Ste D, Union, WA 98592 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-05-03 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Falcon Financial & Consulting | Union | WA | 03/2002 | Present |
| Capital Financial Services, Inc. | Minot | ND | 06/2004 | 05/2018 |
| Mountain Lakes Capital Management Llc | Union | WA | 04/2018 | Present |
(1) Falcon Financial, Inc. 320 E Dalby Rd, Ste D, Union, WA 98592. Consulting and administrative support. President. Start date August 2001. 40 hours/month, 4 during trading hours. Conducting consulting business, serving as general partner to Capital Markets Fund LP, managing business activities. (2) Capital Markets Fund LP. Investment-related. 320 E Dalby Rd, Ste D, Union, WA 98592. Personal investment vehicle for real estate and business. President of General Partner (Falcon Financial, Inc.) and beneficial owner. Start date April 2009. Concurrent with Falcon Financial, Inc. (see above) for hours devoted total and during trading hours. Managing investment activities. (3) Washington State Senate. Not investment-related. P.O. Box 40600, Olympia, WA 98504. Legislative body of State of Washington. State Senator. Start date January 2023. 50 hours/month, 2 during trading hours. Debating and voting on state legislation. (4) BZE Development LLC. Not investment-related. 320 E Dalby Rd, Ste D, Union, WA 98592. Real estate investment. Managing Member. Start date July 2015. 5 hours/month, 0 during trading hours. Managing real estate holdings. (5) MacEwen Forestry Inc. Not investment related. 320 E Dalby Rd Union, WA 98592. Trucking Company. Falcon Financial serves as board president. Start date August 2021. Do not participate in day to day operations. 2 hours per week, 0 during trading hours. (6) PNW Hospitality LLC-not investment related. 406 5th Ave SW Olympia, WA 98501. Restaurant=1889 Prime Steakhouse. I serve as managing partner. Start Date August 2022. Do not participate in day to day operations. 5 hours per week, 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-02 |
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