Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2009 - 2012 (3 years)IABUSINESS WISE INSURANCE, PLLC (CRD# 297580)2019 - Present (5 years)BAXA ADVISORS, LLC (CRD# 6627)1994 - 2009 (14 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1994 - 2000 (5 years)IAAXA ADVISORS, LLC (CRD# 6627)1996 - 2009 (12 years)
Disclosure(s)
View By:
12/19/2014
Regulatory
Final
10/3/2008
Customer Dispute
Denied
License(s)

State Registrations

IA
Washington 7/10/2019
Current Registration(s)
IA
BUSINESS WISE INSURANCE, PLLC (CRD#:297580)
SNOHOMISH, WA
Registered with this firm since 7/10/2019
Previous Registration(s)
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 06/22/2009 - 12/21/2012 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) SANDY, UT
B
 06/22/2009 - 12/21/2012 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) SANDY, UT
IA
 06/27/1996 - 04/07/2009 AXA ADVISORS, LLC (CRD#:6627) SALT LAKE CITY, UT
B
 07/06/1994 - 04/07/2009 AXA ADVISORS, LLC (CRD#:6627) SALT LAKE CITY, UT
B
 07/06/1994 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.