Anthony Joseph Farina
CFP®Professional Summary
Anthony Joseph Farina, CFP® is a registered financial advisor currently at CAPITAL ADVISORS WEALTH MANAGEMENT located in Yakima, Washington. Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Anthony has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Credentials
Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Current Firm
CAPITAL ADVISORS WEALTH MANAGEMENT | CAPITAL ADVISORS WEALTH MANAGEMENT, LLC
Contact Information
Main Address
1104 North 35th Avenue, Yakima, WA 98902Phone Number
(509) 469-5030# of Employees
10SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,051AUM (Assets Under Management)
$1,112,135,839Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
Primary Firm SEC Registration
CAPITAL ADVISORS WEALTH MANAGEMENT | CAPITAL ADVISORS WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(7/31/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2003About the Series 6 examSimilar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Joseph Farina's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
GLOBAL RETIREMENT PARTNERS LLC
FALCON WEALTH PLANNING, LLC
BH ASSET MANAGEMENT, LLC