Ashkaan R. Jaberi

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CRD#: 5924938

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.

Ashkaan Reza Jaberi, who also goes by Ashkaan Jaberi, was a registered financial professional .

Ashkaan is a previously registered financial professional and started their career in finance in 2011. Ashkaan had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ashkaan Jaberi

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

November 4, 2014 - May 15, 2019

FIRST WASHINGTON CORPORATION

RIA

CRD#: 6681

SEATTLE, WA

Past

October 9, 2012 - November 29, 2013

FIRST WASHINGTON CORPORATION

CRD#: 6681

SEATTLE, WA

Past

September 1, 2011 - December 2, 2011

BLACK DIAMOND SECURITIES LLC

CRD#: 151228

KIRKLAND, 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".

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

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).

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 65

Date: 11/4/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/2011

General Securities Representative Examination

Current Firm

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

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Contact information

Main Address

2001 6th Ave Ste 3400, Seattle, WA 98121

Mailing Address

Phone number

(206) 624-8320

Established

Washington since 11/20/1937

Firm type

Corporation

Fiscal year end

September

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST WASHINGTON CORP FORM ADV PART2A DATED 12/15/2024 (12/23/2024)

Direct owners and executive officers

Name	Position	CRD#
LEWIS INVESTORS, LLC	OWNER
LEWIS, DAVID DIXON	CHAIRMAN, ROSFP	1004661
LEWIS, DAVID DIXON	CHIEF COMPLIANCE OFFICER	1004661
MCINTYRE, TERESA ANN	SECRETARY/TREASURER	1697791
MCINTYRE, TERESA ANN	FINANCIAL OPERATIONS PRINCIPAL	1697791

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 427,515,633

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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Ashkaan R. Jaberi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST WASHINGTON CORPORATION

FIRST WASHINGTON CORPORATION

BLACK DIAMOND SECURITIES LLC

Primary Firm SEC Registration

FIRST WASHINGTON CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2014

Series 63

Date: 12/20/2012

Series 7

Date: 8/31/2011

Current Firm

FIRST WASHINGTON CORPORATION

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

FIRST WASHINGTON CORPORATION

TRUST BUT VERIFY

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