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CM

Chase R. Munoz

RAINIER CAPITAL INVESTMENTS
Olympia, WA
Some features on this profile are disabled
CRD#: 4839482
CM

Professional summary

Chase Rolland Munoz is a registered financial advisor currently at RAINIER CAPITAL INVESTMENTS LLC located in Olympia, Washington.

Chase is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Chase has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chase Rolland Munoz'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

August 16, 2019 - Present

RAINIER CAPITAL INVESTMENTS LLC

RIA
CRD#: 304311
Olympia, WA
Past

June 1, 2018 - August 22, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Tacoma, WA
Past

June 1, 2018 - August 22, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Tacoma, WA
Past

June 26, 2007 - June 27, 2018

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
TUKWILA, WA
Past

June 26, 2007 - June 27, 2018

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
TUKWILA, WA
Past

September 28, 2004 - March 6, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
TUKWILA, WA
Past

September 8, 2004 - March 6, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
TUKWILA, 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
Texas
(7/18/2022)
IAR
Washington
(8/16/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/27/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2004
General Securities Representative Examination

Current Firm

RC
RAINIER CAPITAL INVESTMENTS LLC
RAINIER CAPITAL INVESTMENTS LLC | RAINIER CAPITAL INVESTMENTS, LLC

CRD#: 304311 / SEC#:

Texas
Registered Investment Advisory firm - (7/18/2022 Conditional Restricted)
Washington
Registered Investment Advisory firm - (8/16/2019 Approved)
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Contact information

Main Address
Olympia, WA
Mailing Address
Phone number
(206) 999-7434
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts90
AUM (Assets Under Management)$ 38,600,000

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.

Company Information

RAINIER CAPITAL INVESTMENTS LLC

CRD#: 304311Olympia, WA

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