Jeffery L. Lippens

GARDE CAPITAL

SEATTLE, WA 98101

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CRD#: 1740409

Professional summary

Jeffery Lee Lippens, who also goes by Jeffery L Lippens, Jeffrey Lee Lippens, is a registered financial advisor currently at GARDE CAPITAL, INC. located in Seattle, Washington.

Jeffery is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Jeffery has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffery L Lippens | Jeffrey Lee Lippens

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffery Lee Lippens'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 28, 2009 - Present

GARDE CAPITAL, INC.

Office #1: 1301 Fifth Avenue Suite 3030, Seattle, WA 98101

RIA

CRD#: 151043

SEATTLE, WA

Past

March 14, 2001 - September 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

February 16, 2001 - September 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

September 28, 1990 - February 28, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 2, 1989 - October 10, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

August 25, 1988 - May 17, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

GARDE CAPITAL, INC.

CRD#: 151043 / SEC#: 801-70472

RIA

Registered Investment Advisory firm - (8/13/2009 Approved)

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
(8/28/2009)

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: 12/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/19/1988

National Commodity Futures Examination

Current Firm

GARDE CAPITAL, INC.

CRD#: 151043 / SEC#: 801-70472

RIA

Registered Investment Advisory firm - (8/13/2009 Approved)

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Contact information

Main Address

1301 Fifth Avenue Suite 3030, Seattle, WA 98101

Mailing Address

Phone number

(206) 552-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GARDE CAPITAL ADV PART 2 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 2,257,467,432

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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Firm Stability Insights

Jeffery L. Lippens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffery Lee Lippens's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

GARDE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1992

Series 63

Date: 6/17/1988

Series 7

Date: 8/20/1988

Series 3

Date: 7/19/1988

Current Firm

GARDE CAPITAL, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARDE CAPITAL, INC.

TRUST BUT VERIFY

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