Clifton W. Hume

EASTSOUND CAPITAL ADVISORS

Lakewood, CO

Some features on this profile are disabled

CRD#: 2595565

Professional summary

Clifton Willoughby Hume, who also goes by Clifton Willoughby Douglas, Will Hume, is a registered financial advisor currently at EASTSOUND CAPITAL ADVISORS, LLC located in Lakewood, Colorado.

Clifton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Clifton has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clifton Willoughby Douglas | Will Hume

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.

Provides his advisory services under his DBA Western Financial, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifton Willoughby Hume'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

October 17, 2023 - Present

EASTSOUND CAPITAL ADVISORS, LLC

RIA

CRD#: 160180

Lakewood, CO

Past

January 6, 2017 - October 31, 2023

SOWELL MANAGEMENT

RIA

CRD#: 127145

Greeley, CO

Past

June 17, 2015 - May 3, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREELEY, CO

Past

June 17, 2015 - May 3, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREELEY, CO

Past

June 2, 2014 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

RIA

CRD#: 115920

GREELEY, CO

Past

December 7, 2010 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920

GREELEY, CO

Past

August 23, 2002 - December 23, 2009

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

GREELEY, CO

Past

May 18, 2000 - September 17, 2001

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

April 30, 1998 - April 14, 2000

TCADVISORS NETWORK INC.

CRD#: 35794

CENTENNIAL, CO

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".

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 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

Colorado
(10/17/2023)

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: 12/18/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1998

General Securities Representative Examination

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Eastsound, WA

Mailing Address

Phone number

(360) 317-4688

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A 2B BROCHURE EASTSOUND J PIETSCH 10.25 (10/24/2025)

2B BROCHURE HUME 9.25V1 (9/12/2025)

2B BROCHURE BUTLER 7.25 (7/22/2025)

2B BROCHURE SYLER 6.25 (6/26/2025)

2B BROCHURE TAYLAN 6.25 (6/26/2025)

2B BROCHURE HANNA 3.24 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	450
AUM (Assets Under Management)	$ 167,704,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clifton W. Hume

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifton Willoughby Hume's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOWELL MANAGEMENT

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIRST NATIONAL CAPITAL MARKETS

FIRST NATIONAL CAPITAL MARKETS

CETERA INVESTMENT SERVICES LLC

RUSHMORE SECURITIES CORPORATION

TCADVISORS NETWORK INC.

Primary Firm SEC Registration

EASTSOUND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2013

Series 63

Date: 12/18/1998

SIE

Date: 5/3/2016

Series 7

Date: 4/27/1998

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EASTSOUND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors