BE
Brian G. Erke
WESTWARD PARTNERS LLC
Seattle, WA 98109
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CRD#: 4709982
BE
Professional summary
Brian Gregory Erke is a registered financial advisor currently at WESTWARD PARTNERS LLC located in Seattle, Washington.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Mr. Erke typically serves as a director for each of the underlying privately-held companies held in the Westward Partners' fund portfolios. Westward Partners' Managing Members/Directors all serve as board members or directors with all or most of the privately-held companies held in Westward Partners' fund portfolios and this work is deemed to be an integral component of Westward Partners' management role relating to the funds. While technically an outside activity, Mr. Erke serves as a director of these companies in his capacity as a Partner of Westward Partners and any compensation is paid to Westward Partners pursuant to a written agreement. As he considered this work to be part of his ongoing management role with Westward Partners, he spends as much time as is needed to fulfill the services provided to these privately-held companies both during and outside of trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Gregory Erke'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
September 13, 2023 - Present
WESTWARD PARTNERS LLC
Office #1: 2412 Westlake Ave N Suite 4, Seattle, WA 98109RIA
CRD#: 300994
Seattle, WA
Past
July 12, 2005 - July 5, 2007
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 23, 2003 - March 3, 2005
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
WP
WESTWARD PARTNERS LLC
WESTWARD MANAGEMENT COMPANY II LLC | WESTWARD PARTNERS LLC
CRD#: 300994 / SEC#: 801-128729
RIA
Registered Investment Advisory firm - (9/13/2023 Approved)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(9/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WP
WESTWARD PARTNERS LLC
WESTWARD MANAGEMENT COMPANY II LLC | WESTWARD PARTNERS LLC
CRD#: 300994 / SEC#: 801-128729
RIA
Registered Investment Advisory firm - (9/13/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2412 Westlake Ave N Suite 4, Seattle, WA 98109
Mailing Address
Phone number
(206) 669-4007
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 348,629,187 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 8/14/2023 |
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.
