Candace K. Swayne

WMS WEALTH MANAGEMENT LLC

Mukilteo, WA 98275

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CRD#: 4272082

Professional summary

Candace K Swayne, who also goes by Candace K Ko, is a registered financial advisor currently at WMS WEALTH MANAGEMENT LLC located in Mukilteo, Washington.

Candace is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Candace has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Candace K Ko

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.

Name of outside business: Chelan Ridge Winery; Is the business investment related: No; Location of the business: 900 Swartout Road Manson WA-Washington 98831 USA; Description of the business: Chelan Ridge Winery is a Vineyard, wine production facility, tasting room and Wedding venue. ; Position Title: Tasting room support; Responsibilities Duties: Candace assist in the tasting room helping ensure quality operations and a fulfilling experience for all guests. Candace helps manage staff by assisting with wine sales and service, pizza service and customer satisfaction. Start date with business: 2022-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 30;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Candace K Swayne'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®

None

Experience

Current

December 11, 2020 - Present

WMS WEALTH MANAGEMENT LLC

Office #1: 12189 Greenhaven Suite 108, Mukilteo, WA 98275

RIA

CRD#: 311372

Mukilteo, WA

Past

September 28, 2017 - December 31, 2020

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Seattle, WA

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
(12/11/2020)

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 65

Date: 9/28/2017

Uniform Investment Adviser Law Examination

Current Firm

WMS WEALTH MANAGEMENT LLC

CRD#: 311372 / SEC#:

Idaho

Registered Investment Advisory firm - (4/8/2025 Approved)

Washington

Registered Investment Advisory firm - (12/11/2020 Approved)

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Contact information

Main Address

12189 Greenhaven Suite 108, Mukilteo, WA 98275

Mailing Address

Phone number

(206) 726-1633

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 39,019,248

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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Candace K. Swayne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Candace K Swayne's CRS (Customer Relationship Summary).

Certified licenses

Experience

WMS WEALTH MANAGEMENT LLC

COLONY PARK FINANCIAL SERVICES LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/2017

Current Firm

WMS WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WMS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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