JW
Jeffrey A. Wachtman
CAPSTONE INVESTMENT GROUP
Olympia, WA 98502
Some features on this profile are disabled
CRD#: 1599824
JW
Professional summary
Jeffrey Alan Wachtman, who also goes by Jeff Wachtman, is a registered financial advisor currently at CAPSTONE INVESTMENT GROUP located in Olympia, Washington.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Jeffrey has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Wachtman
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.
Church of Living Water Yelm; Director of Connections Ministry; Investment Related; 717 East Yelm Ave Yelm WA 98597; Church; Oversee volunteers in the church, ushers, greeters, parking, connections center and hospitality teams. Also, lead occasional Financial Peace University classes affiliated with the Ramsey Organization; 2016-09-11; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 22; Percentage of total yearly compensation expected to be derived from the business: 0; Contact person at the organization: Bob Horn; Website address for the organization: https://livingwater.com/yelm.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Wachtman's 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®
NoneExperience
Current
April 30, 2014 - Present
CAPSTONE INVESTMENT GROUP
Office #1: 2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502RIA
CRD#: 159918
Olympia, WA
Past
November 30, 2009 - April 25, 2014
CAMBRIDGE WEALTH MANAGEMENT
RIA
CRD#: 149440
TUMWATER, WA
Past
February 25, 2009 - October 29, 2009
NICOL INVESTORS CORPORATION
BD
CRD#: 123111
OLYMPIA, WA
Past
February 7, 2000 - December 31, 2009
PROACTIVE MONEY MANAGEMENT INC
RIA
CRD#: 110161
OLYMPIA, WA
Past
April 29, 1999 - December 31, 2008
THOMASLLOYD CAPITAL LLC
BD
CRD#: 38784
OLYMPIA, WA
Past
June 23, 1998 - June 2, 1999
EQUITY PROGRAMS CORPORATION
BD
CRD#: 6100
SAN DIEGO, CA
Past
September 26, 1996 - June 8, 1998
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
May 18, 1992 - September 17, 1996
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
December 6, 1991 - May 29, 1992
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
January 14, 1987 - December 9, 1991
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAPSTONE INVESTMENT GROUP
CAPSTONE INVESTMENT GROUP | CAPSTONE TRUST | CAPSTONE INVESTMENT GROUP, LLC
CRD#: 159918 / SEC#: 801-121820
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Arizona
Registered Investment Advisory firm - (12/8/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/10/2021 Terminated)Texas
Registered Investment Advisory firm - (8/9/2021 Terminated)Washington
Registered Investment Advisory firm - (4/7/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2020 Terminated)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
California(12/1/2020)
IAR
Oregon(1/3/2020)
IAR
Texas(12/2/2020)
IAR
Washington(4/30/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CAPSTONE INVESTMENT GROUP
CAPSTONE INVESTMENT GROUP | CAPSTONE TRUST | CAPSTONE INVESTMENT GROUP, LLC
CRD#: 159918 / SEC#: 801-121820
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Arizona
Registered Investment Advisory firm - (12/8/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/10/2021 Terminated)Texas
Registered Investment Advisory firm - (8/9/2021 Terminated)Washington
Registered Investment Advisory firm - (4/7/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502
Mailing Address
2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502
Phone number
(360) 570-9888
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,178 |
| AUM (Assets Under Management) | $ 152,420,481 |
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.
