Curtis Lee Pepin
Professional Summary
Curtis Lee Pepin is a registered financial advisor currently at BADGLEY PHELPS WEALTH MANAGERS located in Seattle, Washington. Curtis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Curtis has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BADGLEY PHELPS WEALTH MANAGERS | BADGLEY PHELPS WEALTH MANAGERS, LLC
Contact Information
Main Address
1420 Fifth Avenue Suite 3200, Seattle, WA 98101Phone Number
(206) 623-6172# of Employees
45SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,486AUM (Assets Under Management)
$7,280,763,257Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2026 | Cover Page | Report |
| 08/27/2025 | Cover Page | Report |
| 12/11/2024 | Cover Page | Report |
| 01/08/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BADGLEY PHELPS WEALTH MANAGERS | BADGLEY PHELPS WEALTH MANAGERS, LLC
State Registrations and Notice Filings
(9/18/2023)
(8/2/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Curtis Lee Pepin's CRS (Customer Relationship Summary).
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