Warren James Gouk
Professional Summary
Warren James Gouk was a registered financial advisor. Warren was a previously registered financial professional and started their career in finance 2000 - 2017. Warren had worked at 2 firms and has passed the Series 63 and SIE 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
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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
26 years in the financial services industry
Current & Past Employments
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Current Firm
BASE CAPITAL SECURITIES, LLC | STONEBRIDGE SECURITIES, LLC. | STONEBRIDGE SECURITIES LLC
Contact Information
Main Address
330 112th Ave. Ne Suite 300, Bellevue, WA 98004Mailing Address
7345 164th Ave Ne Ste 145-290, Redmond, WA 98052Phone Number
(206) 770-9700Established
Washington since 03/19/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENDRICKSON, MICHAEL ALLAN | MANAGING PRINCIPAL& CHIEF COMPLIANCE OFFICER | 242948 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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