Alexander M. Adams

ADAMS FINANCIAL CONCEPTS

SEATTLE, WA 98154

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CRD#: 1492147

Professional summary

Alexander Michael Adams, who also goes by A Michael Adams, A. Michael Adams, is a registered financial advisor currently at ADAMS FINANCIAL CONCEPTS, LLC located in Seattle, Washington.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Alexander has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

A Michael Adams | A. Michael Adams

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MEMBER OF BOARD OF DIRECTORS OF EVDENSE HOLDING COMPANY (2017-PRESENT). SPEND 1 TO 2 HOURS PER MONTH OUTSIDE OF MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Michael Adams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 5, 2005 - Present

ADAMS FINANCIAL CONCEPTS, LLC

Office #1: 1001 Fourth Avenue Suite 4330, Seattle, WA 98154

RIA

CRD#: 134545

SEATTLE, WA

Past

January 13, 2005 - January 28, 2008

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

SEATTLE, WA

Past

January 13, 2005 - December 31, 2009

NEWEDGE SECURITIES, LLC

CRD#: 10674

SEATTLE, WA

Past

January 25, 1999 - January 13, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, WA

Past

November 24, 1998 - January 13, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 2, 1998 - November 16, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

May 7, 1990 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

April 28, 1986 - May 9, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(8/5/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/11/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Current Firm

ADAMS FINANCIAL CONCEPTS, LLC

ADAMS FINANCIAL CONCEPTS, LLC | ONLY ADAMS FINANCIAL CONCEPTS LLC - ALL OTHERS ARE REFERENCED UNDER 1B - G(2).

CRD#: 134545 / SEC#: 801-122916

RIA

Registered Investment Advisory firm - (8/19/2024 Terminated)

California

Registered Investment Advisory firm - (4/17/2022 Terminated)

Florida

Registered Investment Advisory firm - (3/18/2022 Terminated)

Oregon

Registered Investment Advisory firm - (12/14/2009 Terminated)

Washington

Registered Investment Advisory firm - (8/13/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1001 Fourth Avenue Suite 4330, Seattle, WA 98154

Mailing Address

Phone number

(206) 903-1019

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 79,724,847

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Alexander M. Adams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Michael Adams's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1992

Series 63

Date: 5/12/1986

Series 3

Date: 9/11/1986

Series 7

Date: 4/19/1986

Current Firm

ADAMS FINANCIAL CONCEPTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADAMS FINANCIAL CONCEPTS, LLC

TRUST BUT VERIFY

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