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Detailed Report
ADAM GRIFFES VAN NESS
CRD#: 4976468
IA
Investment Adviser
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Previous Broker
NW STRAITS FINANCIAL SERVICESCRD#: 315904 Bellingham, WA
Registration History
20062008201020122014201620182020202220242026IANW STRAITS FINANCIAL SERVICES (CRD# 315904)2022 - Present (3 years)BRUSSELL INVESTMENTS IMPLEMENTA... (CRD# 329)2005 - 2016 (11 years)
License(s)

State Registrations

IA
Washington 1/3/2022
Current Registration(s)
IA
NW STRAITS FINANCIAL SERVICES (CRD#:315904)
Bellingham, WA
Registered with this firm since 1/3/2022
Previous Registration(s)
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 07/22/2005 - 08/17/2016 RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC (CRD#:329) SEATTLE, WA
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.