SD
Shaun J. Dean
ASPIRE CAPITAL ADVISORS LLC
Kirkland, WA 98033
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CRD#: 2991251
SD
Professional summary
Shaun Jeffery Dean, who also goes by Shaun J Dean, is a registered financial advisor currently at ASPIRE CAPITAL ADVISORS LLC located in Kirkland, Washington.
Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Shaun has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shaun J Dean
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.
1.MAY 2012; AIRBNB RENTAL, SCOTTSDALE, AZ; NON INVESTMENT RELATED; OWNER; RENTAL/REAL ESTATE; DEVOTE 10 HRS/MONTH DURING NON MARKET HOURS. 2. SEPT 1997; DEAN FINANCIAL, KIRKLAND, WA; NON INVESTMENT RELATED; OWNER; INSURANCE LTC & LIFE; DEVOTE 5 HRS/MONTH DURING MARKET HOURS. 3. SEPT 2000; KIRKLAND FINANCIAL ADVISERS, KIRKLAND, WA; INVESTMENT RELATED; DBA FINANCIAL PLANNING; DEVOTE 150 HRS/MONTH DURING MARKET HOURS. 4. SEPT 1981; DEAN FINANCIAL MANAGEMENT, KIRKLAND, WA; INVESTMENT RELATED; FINANCIAL PLANNING; OWNER; DEVOTE 150 HRS/MONTH DURING MARKET HOURS. 5. JULY 2021; ASPIRE CAPITAL ADVISORS, KIRKLAND, WA; INVESTMENT RELATED; RIA; FINANCIAL ADVISOR; DEVOTE 150 HRS/MONTH, 100 HRS/MONTH DURING MARKET HOURS. 6. JULY 2023; ANNE MARIE AESTHETICS, BELLEVUE, WA; NON INVESTMENT RELATED; CONSUMER SERVICES; CONSULTANT; DEVOTE 16 HRS/MONTH, 0 HRS/MONTH DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Jeffery Dean's 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®
NoneExperience
Current
July 1, 2021 - Present
ASPIRE CAPITAL ADVISORS LLC
Office #1: 1524 Market Street, Suite 100, Kirkland, WA 98033RIA
CRD#: 298366
Kirkland, WA
Past
July 1, 2021 - August 31, 2022
M. S. HOWELLS & CO.
BD
CRD#: 104100
KIRKLAND, WA
Past
November 6, 2020 - July 6, 2021
ARBOR POINT ADVISORS
RIA
CRD#: 165127
KIRKLAND, WA
Past
November 6, 2020 - July 6, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Kirkland, WA
Past
December 5, 2017 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
Kirkland, WA
Past
December 5, 2017 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
Kirkland, WA
Past
April 16, 1999 - December 5, 2017
FSIC
RIA
CRD#: 37813
KIRKLAND, WA
Past
December 1, 1998 - December 5, 2017
FSIC
BD
CRD#: 37813
KIRKLAND, WA
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".
AC
ASPIRE CAPITAL ADVISORS LLC
AFG FINANCIAL | SOUND FINANCIAL INVESTMENTS, INC. | KIRKLAND FINANCIAL ADVISERS | ASPIRE CAPITAL ADVISORS, LLC | ASPIRE CAPITAL ADVISORS LLC
CRD#: 298366 / SEC#: 801-118452
RIA
Registered Investment Advisory firm - (4/16/2020 Approved)California
Registered Investment Advisory firm - (5/29/2020 Terminated)Texas
Registered Investment Advisory firm - (4/29/2020 Terminated)Washington
Registered Investment Advisory firm - (5/29/2020 Terminated)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
Washington(7/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ASPIRE CAPITAL ADVISORS LLC
AFG FINANCIAL | SOUND FINANCIAL INVESTMENTS, INC. | KIRKLAND FINANCIAL ADVISERS | ASPIRE CAPITAL ADVISORS, LLC | ASPIRE CAPITAL ADVISORS LLC
CRD#: 298366 / SEC#: 801-118452
RIA
Registered Investment Advisory firm - (4/16/2020 Approved)California
Registered Investment Advisory firm - (5/29/2020 Terminated)Texas
Registered Investment Advisory firm - (4/29/2020 Terminated)Washington
Registered Investment Advisory firm - (5/29/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1815 North 45th Street Suite 105, Seattle, WA 98103
Mailing Address
Phone number
(206) 939-5615
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,984 |
| AUM (Assets Under Management) | $ 1,007,298,969 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
