Wendy J. Phillips

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CRD#: 2414191

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wendy Jay Phillips, who also goes by Wendy Jay Russell, Wendy Jay Sperling, was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1994. Wendy had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy Jay Russell | Wendy Jay Sperling

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.

LIGHTPOST RECORDS, LLC NON-INVESTMENT RELATED 8091 BUCKLIN HILL RD. BAINBRIDGE ISLAND, WA 98110 FOUNDER AND CO-OWNER START DATE 1/1/03 APPROX. 20 HOURS/MO. OUTSIDE OF TRADING HOURS CONSULTANT, MANAGER FOR BUSINESS OPERATIONS, PROMOTIONS AND MARKETING FOR INDEPENDENT RECORD LABEL AND RECORDING STUDIO.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 29, 2022 - January 26, 2024

COLDSTREAM WEALTH MANAGEMENT

RIA

CRD#: 108805

BELLEVUE, WA

Past

May 3, 2010 - November 2, 2021

LNW

RIA

CRD#: 113400

SEATTLE, WA

Past

September 28, 2005 - May 18, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SEATTLE, WA

Past

October 15, 2004 - August 18, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 1, 1998 - July 1, 2003

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

October 16, 1996 - July 3, 1997

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

June 1, 1995 - September 19, 1996

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

Past

June 28, 1994 - January 10, 1995

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

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".

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/30/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/27/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 Approved)

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Contact information

Main Address

One - 100th Avenue Ne Suite 102, Bellevue, WA 98004

Mailing Address

Phone number

(425) 283-1600

Established

Firm type

Fiscal year end

# of Employees

195

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV - PART 2A - CWM - 2025 06 17 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	4,519
AUM (Assets Under Management)	$ 12,438,532,202

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
08/27/2024	Cover Page	Report
09/29/2023	Cover Page	Report

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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Wendy J. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LNW

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

SIGNATOR FINANCIAL SERVICES, INC.

U.S. BANCORP SECURITIES

SYMETRA SECURITIES, INC.

SYMETRA SECURITIES, INC.

Primary Firm SEC Registration

COLDSTREAM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2010

Series 63

Date: 6/27/1994

Series 7

Date: 12/21/2005

Series 6

Date: 6/27/1994

Current Firm

COLDSTREAM WEALTH MANAGEMENT

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COLDSTREAM WEALTH MANAGEMENT

TRUST BUT VERIFY

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