Adam G. Van Ness

NW STRAITS FINANCIAL SERVICES

Bellingham, WA

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CRD#: 4976468

Professional summary

Adam Griffes Van Ness is a registered financial advisor currently at NW STRAITS FINANCIAL SERVICES located in Bellingham, Washington.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Adam has worked at 2 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 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.

No specific business name. Teaching community based continuing education classes on personal finance related topics. 406 E Maryland St, Bellingham WA 98225 01/2019 to Present APPROXIMATE NUMBER OF HOURS/MONTH: 2 NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES: Teach classes at the community college on personal finance topics such as saving, budgeting, debt, insurance, and other general personal finance related topics. Unity Care Northwest (UCNW) Board Member Board member for a local non-profit healthcare provider. 220 Unity Street, Bellingham, WA 98225 02/2023 to Present APPROXIMATE NUMBER OF HOURS/MONTH: 2 NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES: Serve as community representative, helping make decisions on which services are provided and overall direction.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Griffes Van Ness'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

January 3, 2022 - Present

NW STRAITS FINANCIAL SERVICES

RIA

CRD#: 315904

Bellingham, WA

Past

July 22, 2005 - August 17, 2016

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

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
(1/3/2022)

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: 1/29/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/16/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/2014

General Securities Principal Examination

Current Firm

NW STRAITS FINANCIAL SERVICES

NW STRAITS FINANCIAL PLANNING | RYCOTS LLC | NW STRAITS FINANCIAL SERVICES LLC | NW STRAITS FINANCIAL SERVICES

CRD#: 315904 / SEC#:

Washington

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

Bellingham, WA

Mailing Address

Phone number

(360) 599-5206

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 10,589,026

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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Adam G. Van Ness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Griffes Van Ness's CRS (Customer Relationship Summary).

Certified licenses

Experience

NW STRAITS FINANCIAL SERVICES

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2021

Series 66

Date: 8/16/2005

SIE

Date: 8/17/2016

Series 7

Date: 7/21/2005

Series 24

Date: 5/20/2014

Current Firm

NW STRAITS FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NW STRAITS FINANCIAL SERVICES

TRUST BUT VERIFY

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