Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2016 (7 years)2 FIRMS2016 - 2024 (8 years)IACRUX WEALTH ADVISORS (CRD# 330731)2024 - Present (<1 year)
Disclosure(s)
View By:
11/11/2024
Customer Dispute
Pending
11/6/2024
Customer Dispute
Pending
10/1/2015
Customer Dispute
Denied
License(s)

State Registrations

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California 8/6/2024
Current Registration(s)
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CRUX WEALTH ADVISORS (CRD#:330731)
Seattle, WA
Registered with this firm since 8/6/2024
Previous Registration(s)
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 03/14/2016 - 08/02/2024 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Long Beach, CA
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 02/12/2016 - 08/02/2024 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) Long Beach, CA
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 06/26/2008 - 03/01/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LONG BEACH, CA
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 05/19/2008 - 03/01/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LONG BEACH, CA
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.
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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.