Simran Bajaj
Professional summary
Simran Bajaj, who also goes by Sim Bajaj, is a registered financial advisor currently at COLDSTREAM WEALTH MANAGEMENT located in Seattle, Washington.
Simran is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Simran has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Simran Bajaj's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2021 - Present
COLDSTREAM WEALTH MANAGEMENT
Office #1: 1200 Westlake Avenue N. Suite 900, Seattle, WA 98109February 13, 2007 - March 7, 2011
EQUITABLE ADVISORS, LLC
November 10, 2006 - March 7, 2011
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/30/2021)
Exams
Current Firm
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,519 |
| AUM (Assets Under Management) | $ 12,438,532,202 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/27/2024 | ||
| 09/29/2023 |
Red Flags
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