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Bryce Arnevick James

Smart Portfolios, LLC

Lake Forest Park, WA

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Current Employers
Smart Portfolios, Llc

17849 Ballinger Way Ne, Lake Forest Park, WA 98155 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2004-07-02
  • WA RA
    APPROVED
    Since 2004-07-02

Branch Locations

17849 Ballinger Way Ne, Lake Forest Park, WA 98155 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Smart Portfolios, Llc Seattle WA 03/2005 Present
Previous Registrations
  • 2005-10-27 → 2006-12-31
    Swan Strategies, Llc
    Seattle, WA
  • 2002-10-23 → 2005-12-31
    Shield Investment Advisors, Llc
    Snohomish, WA
  • 2001-05-08 → 2002-06-07
    Morgan Stanley Dw Inc.
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-10
S63 Uniform Securities Agent State Law Examination 1983-07-25
  • S65 Uniform Investment Adviser Law Examination
    1992-04-10
  • S63 Uniform Securities Agent State Law Examination
    1983-07-25

View on SEC IAPD

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Other Offices

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THRIVENT INVESTMENT MANAGEMENT INC. · Shoreline, WA
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U.S. BANCORP ADVISORS, LLC · Shoreline, WA
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WELLS FARGO CLEARING SERVICES, LLC · KENMORE, WA
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