Sean J. Figueroa

EVERGREEN CAPITAL MANAGEMENT LLC

San Francisco, CA 94111

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CRD#: 2556909

Professional summary

Sean Jason Figueroa, CFP® is a registered financial advisor currently at EVERGREEN CAPITAL MANAGEMENT LLC located in San Francisco, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Sean has worked at 3 firms and has passed the Series 63, Series 65, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Sean Jason Figueroa'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®

CFP^®

Certified Financial Planner

Experience

Current

April 13, 2017 - Present

EVERGREEN CAPITAL MANAGEMENT LLC

Office #1: 50 California Street Suite 2650, San Francisco, CA 94111

RIA

CRD#: 104931

San Francisco, CA

Past

December 22, 2000 - July 2, 2004

CIBC PRIVATE WEALTH ADVISORS, INC.

RIA

CRD#: 109644

SANFRANCISCO, CA

Past

October 13, 1999 - December 31, 2000

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

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".

EVERGREEN CAPITAL MANAGEMENT LLC

EVERGREEN CAPITAL MANAGEMENT LLC | EVERGREEN GAVEKAL

CRD#: 104931 / SEC#: 801-20248

RIA

Registered Investment Advisory firm - (12/1/1983 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

California
(4/13/2017)

IAR

Texas
(4/13/2017)

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

Series 63

Date: 11/29/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/11/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 10/25/1994

Non-Member General Securities Examination

Current Firm

EVERGREEN CAPITAL MANAGEMENT LLC

EVERGREEN CAPITAL MANAGEMENT LLC | EVERGREEN GAVEKAL

CRD#: 104931 / SEC#: 801-20248

RIA

Registered Investment Advisory firm - (12/1/1983 Approved)

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Contact information

Main Address

1412 112th Ave Ne Suite 100, Bellevue, WA 98004

Mailing Address

Phone number

(425) 467-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERGREEN ADV PART 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,147
AUM (Assets Under Management)	$ 5,217,923,207

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/28/2024	Cover Page	Report
12/21/2023	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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Sean J. Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Jason Figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIBC PRIVATE WEALTH ADVISORS, INC.

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

EVERGREEN CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/29/1999

Series 65

Date: 11/11/1994

Series 7

Date: 10/12/1999

Series 2

Date: 10/25/1994

Current Firm

EVERGREEN CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EVERGREEN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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