Joey L. Day

BEAR MOUNTAIN CAPITAL

Seattle, WA 98121

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CRD#: 2929289

Professional summary

Joey Leslie Day, who also goes by Joe Day, is a registered financial advisor currently at BEAR MOUNTAIN CAPITAL INC. located in Seattle, Washington.

Joey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joey has worked at 3 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Day

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 Joey Leslie Day'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

August 27, 2009 - Present

BEAR MOUNTAIN CAPITAL INC.

Office #1: 2001 6th Avenue Ste. 2401, Seattle, WA 98121

RIA

CRD#: 151151

Seattle, WA

Past

January 8, 2003 - September 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

December 6, 2002 - September 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

October 21, 1998 - December 18, 1998

DMG SECURITIES, INC.

CRD#: 15480

GREAT FALLS, VA

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".

BEAR MOUNTAIN CAPITAL INC.

BEAR MOUNTAIN CAPITAL | BEAR MOUNTAIN CAPITAL MANAGEMENT, INC. | BEAR MOUNTAIN CAPITAL INC.

CRD#: 151151 / SEC#: 801-113478

RIA

Registered Investment Advisory firm - (6/21/2018 Approved)

California

Registered Investment Advisory firm - (7/22/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2018 Terminated)

Washington

Registered Investment Advisory firm - (7/22/2018 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

Texas
(5/23/2014)

IAR

Washington
(8/27/2009)

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: 1/7/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 2/28/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/5/2002

General Securities Representative Examination

Current Firm

BEAR MOUNTAIN CAPITAL INC.

BEAR MOUNTAIN CAPITAL | BEAR MOUNTAIN CAPITAL MANAGEMENT, INC. | BEAR MOUNTAIN CAPITAL INC.

CRD#: 151151 / SEC#: 801-113478

RIA

Registered Investment Advisory firm - (6/21/2018 Approved)

California

Registered Investment Advisory firm - (7/22/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2018 Terminated)

Washington

Registered Investment Advisory firm - (7/22/2018 Terminated)

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Contact information

Main Address

2001 6th Avenue Ste. 2401, Seattle, WA 98121

Mailing Address

Phone number

(206) 420-3713

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BEAR MOUNTAIN CAPITAL - ADV PART 2A (2/14/2025)

Regulatory assets under management

Total Number of Accounts	921
AUM (Assets Under Management)	$ 309,736,038

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

Joey L. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joey Leslie Day's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DMG SECURITIES, INC.

Primary Firm SEC Registration

BEAR MOUNTAIN CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2003

Series 63

Date: 10/23/1998

Series 31

Date: 2/28/2006

Series 7

Date: 12/5/2002

Current Firm

BEAR MOUNTAIN CAPITAL INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEAR MOUNTAIN CAPITAL INC.

TRUST BUT VERIFY

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