Kevin J. Williams

SYNERGY ASSET MANAGEMENT

VANCOUVER, WA 98684

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CRD#: 2537082

Professional summary

Kevin John Williams, who also goes by Kevin J Williams, is a registered financial advisor currently at SYNERGY ASSET MANAGEMENT, LLC located in Vancouver, Washington and LIFETIME FINANCIAL, INC. located in Tacoma, Washington.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kevin has worked at 15 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin J Williams

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.

Kevin will engage with Synergy Financial Management's affiliated company's - Synergy Financial Services, Inc (Insurance) - Synergy Mergers & Acquisitions, LLC DBA Synergy (Real Estate). These companies are not registered companies but do complement a client's overall investment objective. Real Estate Broker with Synergy Mergers + Acquisitions Commissions based on Purchase and Sales Agreements (contracts) split 50/50 with SMA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin John Williams'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

April 17, 2020 - Present

SYNERGY ASSET MANAGEMENT, LLC

Office #1: 13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

RIA

CRD#: 117201

VANCOUVER, WA

Current

September 27, 2022 - Present

LIFETIME FINANCIAL, INC.

RIA

CRD#: 161124

Tacoma, WA

Past

October 24, 2018 - April 1, 2020

GENNAKER CAPITAL LLC

RIA

CRD#: 289969

SAMMAMISH, WA

Past

March 1, 2016 - June 15, 2018

GOLDBLOOM WEALTH MANAGEMENT LLC

RIA

CRD#: 153678

BELLEVUE, WA

Past

January 31, 2013 - March 25, 2015

ELITE WEALTH MANAGEMENT, INC.

RIA

CRD#: 132122

KIRKLAND, WA

Past

January 24, 2008 - January 14, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, WA

Past

January 24, 2008 - January 14, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, WA

Past

January 24, 2008 - January 14, 2013

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

May 11, 2006 - January 2, 2008

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

BELLEVUE, WA

Past

May 11, 2006 - January 2, 2008

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BELLEVUE, WA

Past

February 16, 2005 - July 27, 2006

SHELGREN FINANCIAL GROUP, INC.

RIA

CRD#: 117056

RENTON, WA

Past

February 15, 2005 - May 18, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

October 14, 2004 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

October 23, 2002 - October 12, 2004

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

August 11, 1998 - February 1, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 13, 1997 - October 1, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

October 10, 1994 - June 22, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

SYNERGY ASSET MANAGEMENT, LLC

CRD#: 117201 / SEC#: 801-64132

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

California

Registered Investment Advisory firm - (4/12/2005 Terminated)

Washington

Registered Investment Advisory firm - (4/12/2005 Terminated)

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).

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
(9/27/2022)

IAR

Washington
(4/17/2020)

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 66

Date: 2/4/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/6/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/1994

General Securities Representative Examination

Current Firm

SYNERGY ASSET MANAGEMENT, LLC

CRD#: 117201 / SEC#: 801-64132

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

California

Registered Investment Advisory firm - (4/12/2005 Terminated)

Washington

Registered Investment Advisory firm - (4/12/2005 Terminated)

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Contact information

Main Address

13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

Mailing Address

Phone number

(206) 386-5455

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	5,659
AUM (Assets Under Management)	$ 1,052,439,630

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

Kevin J. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin John Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFETIME FINANCIAL, INC.

GENNAKER CAPITAL LLC

GOLDBLOOM WEALTH MANAGEMENT LLC

ELITE WEALTH MANAGEMENT, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

SHELGREN FINANCIAL GROUP, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

SIGNATOR FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CETERA WEALTH SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SYNERGY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/4/2005

Series 65

Date: 5/6/1995

Series 63

Date: 11/18/1994

Series 7

Date: 10/7/1994

Current Firm

SYNERGY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYNERGY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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