John C. Cruz

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CRD#: 5167832

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Cabral Cruz was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2006. John had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 24, 2011 - December 13, 2024

GARDE CAPITAL, INC.

RIA

CRD#: 151043

SEATTLE, WA

Past

September 7, 2007 - September 15, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

September 7, 2007 - September 15, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

November 2, 2006 - July 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

November 2, 2006 - July 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SEATTLE, WA

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".

GARDE CAPITAL, INC.

CRD#: 151043 / SEC#: 801-70472

RIA

Registered Investment Advisory firm - (8/13/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 9/25/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/1/2006

General Securities Representative Examination

Current Firm

GARDE CAPITAL, INC.

CRD#: 151043 / SEC#: 801-70472

RIA

Registered Investment Advisory firm - (8/13/2009 Approved)

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Contact information

Main Address

1301 Fifth Avenue Suite 3030, Seattle, WA 98101

Mailing Address

Phone number

(206) 552-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GARDE CAPITAL ADV PART 2 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 2,257,467,432

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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John C. Cruz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GARDE CAPITAL, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GARDE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2006

Series 7

Date: 11/1/2006

Current Firm

GARDE CAPITAL, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARDE CAPITAL, INC.

TRUST BUT VERIFY

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