Colleen H. Gillespie

SAWSTON WEALTH MANAGEMENT LLC

Olympia, WA 98502

Some features on this profile are disabled

CRD#: 4798828

Professional summary

Colleen Huddleston Gillespie, AIF®, who also goes by Colleen Huddleston Gilespie, Colleen Lorraine Huddleston, is a registered financial advisor currently at SAWSTON WEALTH MANAGEMENT LLC located in Olympia, Washington.

Colleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Colleen 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

Colleen Huddleston Gilespie | Colleen Lorraine Huddleston

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. INDEPENDENT LICENSED INSURANCE AGENT 2. CAPITAL MEDICAL CENTER - INVESTMENT RELATED - NO; Olympia, WA 98502; Hospital; Chair, Board of Trustees; Conduct monthly Board of Trustees meeting for the hospital's advisory board.; 2018-02-01; Hours devoted to business during trading hours: 3; Hours devoted to business outside trading hours: 3; Percentage of total yearly compensation expected to be derived from the business: 0; Website address for the organization: www.capitalmedical.com; Will an IRS form for income earned be received: No. 3. St. Michael Parish; investment related: No; Olympia, WA 98501; Roman Catholic Church; Pastoral Council Member; Review and approve strategic plan and budget of local parish.; 2018-07-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 0; Website address for the organization: www.saintmichaelparish.org; Will an IRS form for income earned be received: No. 4.Rotary Club of Olympia; investment related: No; Olympia, WA 98507; Civic organization dedicated to "Service Above Self."; President-Elect; As President-Elect, I support the current president. My term as President will commence on July 1, 2019 through June 30, 2020.; 2018-07-01; Hours devoted to business during trading hours: 8; Hours devoted to business outside trading hours: 8; Percentage of total yearly compensation expected to be derived from the business: 0; Website address for the organization: www.olyrotary.org; Will an IRS form for income earned be received: No.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colleen Huddleston Gillespie'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 21, 2015 - Present

SAWSTON WEALTH MANAGEMENT LLC

Office #1: 2010 Caton Way Sw Suite 204, Olympia, WA 98502

RIA

CRD#: 281222

Olympia, WA

Past

September 6, 2012 - October 20, 2015

CETERA ADVISORS LLC

RIA

CRD#: 10299

OLYMPIA, WA

Past

April 19, 2012 - June 25, 2012

CETERA ADVISORS LLC

RIA

CRD#: 10299

OLYMPIA, WA

Past

April 18, 2012 - October 20, 2015

CETERA ADVISORS LLC

CRD#: 10299

OLYMPIA, WA

Past

April 17, 2012 - October 20, 2015

CAPSTONE INVESTMENT GROUP

RIA

CRD#: 159918

OLYMPIA, WA

Past

September 7, 2010 - March 26, 2012

CAMBRIDGE WEALTH MANAGEMENT

RIA

CRD#: 149440

TUMWATER, WA

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

RIA

CRD#: 149777

OLYMPIA, WA

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

CRD#: 149777

OLYMPIA, WA

Past

July 27, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OLYMPIA, WA

Past

June 17, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

OLYMPIA, 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
(10/21/2015)

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: 7/19/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2004

General Securities Representative Examination

Current Firm

SAWSTON WEALTH MANAGEMENT LLC

SAWSTON WEALTH MANAGEMENT LLC | SAWSTON WEALTH MANAGEMENT, LLC

CRD#: 281222 / SEC#:

North Carolina

Registered Investment Advisory firm - (11/17/2022 Terminated)

Washington

Registered Investment Advisory firm - (10/8/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2010 Caton Way Sw Suite 204, Olympia, WA 98502

Mailing Address

Phone number

(360) 464-2025

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 34,881,292

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.

Similar Advisors

Isaiah Symeonides

J.P. MORGAN SECURITIES LLC

NEW YORK, NY

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Edward Long

MORGAN STANLEY

IAR

Newbury, NH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Colleen H. Gillespie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colleen Huddleston Gillespie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CAPSTONE INVESTMENT GROUP

CAMBRIDGE WEALTH MANAGEMENT

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2004

Series 63

Date: 7/19/2004

SIE

Date: 10/20/2015

Series 7

Date: 6/16/2004

Current Firm

SAWSTON WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAWSTON WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors