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Current Employers
Blue Water Asset Management

4120 E. Beltline Ave. Suite 100, Grand Rapids, MI 49525 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-09-25
MI RA APPROVED 2015-03-19
  • TX RA
    APPROVED
    Since 2015-09-25
  • MI RA
    APPROVED
    Since 2015-03-19

Branch Locations

4120 E. Beltline Ave. Suite 100, Grand Rapids, MI 49525 • 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
Invest Financial Corporation Tampa FL 02/2009 02/2018
Blue Water Asset Management Grand Rapids MI 02/2015 Present
Redfield Financial Group Grand Rapids MI 08/1986 Present
Lpl Financial Llc Grand Rapids MI 02/2018 01/2022
Silver Oak Securities, Inc. Grand Rapids MI 01/2022 Present
  • 02/2009 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 02/2015 → Present
    Grand Rapids, MI
  • 08/1986 → Present
    Redfield Financial Group
    Grand Rapids, MI
  • 02/2018 → 01/2022
    Grand Rapids, MI
  • 01/2022 → Present
    Silver Oak Securities, Inc.
    Grand Rapids, MI
Previous Registrations
  • 2018-02-14 → 2020-10-07
    Grand Rapids, MI
  • 2010-01-22 → 2018-02-14
    Invest Financial Corporation
    Grand Rapids, MI
    Appleton, WI
  • 2010-09-24 → 2015-07-08
    Grand Rapids, MI
    Grand Rapids, MI
    Williamston, MI
  • 2000-01-31 → 2006-12-19
    National Planning Corporation
    Grand Rapids, MI
Other Businesses

1) Redfield Properties LLC,Is Not Investment Related,,RE Rental,owner,2014-01-01,4 hours per month,4 hours per month during trading hours,Other Compensation,rentaincome 2) 02/14/2018 - REDFIELD FINANCIAL GROUP LLC - Investment Related - At Reported Business Location(s) - DBA for securities business and insurance sales-Start Date 1/1/91. 3) Grass Lake East Properties LLC,Is Not Investment Related,,timber land,owner,2006-01-01,4 hours per month,0 hours per month during tradinghours,Other Compensation,Buying and selling timber and carbon 4) Blue Water Asset Management LLC,Is Investment Related,,RIA,owner,2015-01-06,120 hours permonth,120 hours per month during trading hours,Fee Based Compensation,Rep 5) Blue Water Group Agency LLC, Is Not Investment Related,group insurance,owner,20101-01,30 hours per month,0 hours per month during trading hours,Commission Compensation,agent 6) 12/3/2019 - Waltman Lodge Lake LLC - Investment Related - 4050N West County Line Rd, Pierson MI 49339 - Real Estate Rental - Owner - Started 11/01/2019 - 8 Hours Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-12
S63 Uniform Securities Agent State Law Examination 1986-10-27
  • S65 Uniform Investment Adviser Law Examination
    1996-03-12
  • S63 Uniform Securities Agent State Law Examination
    1986-10-27
Designations

View on SEC IAPD

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