Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ARTHUR GERONIMO NUNES JR
ARTHUR GERONIMO NUNES
CRD#: 1192562
IA
Investment Adviser
NORTHWEST ASSET MANAGEMENTCRD#: 147923 Kirkland, WA
Registration History
1996199820002002200420062008201020122014201620182020202220242026IANORTHWEST ASSET MANAGEMENT (CRD# 147923)2010 - Present (14 years)IAIMS CAPITAL MANAGEMENT (CRD# 105939)2003 - 2011 (7 years)IARBC DAIN RAUSCHER INC. (CRD# 31194)1996 - 2003 (7 years)
License(s)

State Registrations

IA
California 6/4/2013
IA
Washington 11/30/2010
Current Registration(s)
IA
NORTHWEST ASSET MANAGEMENT (CRD#:147923)
Kirkland, WA
Registered with this firm since 11/30/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/24/2003 - 01/03/2011 IMS CAPITAL MANAGEMENT (CRD#:105939) BELLEVUE, WA
IA
 01/23/1996 - 06/12/2003 RBC DAIN RAUSCHER INC. (CRD#:31194) SEATTLE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.