Cassandra G. Brown

LNW

Seattle, WA 98104-1564

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CRD#: 5956416

Professional summary

Cassandra Grace Brown, CFP®, who also goes by Cassandra G Scroggs, Cassandra Grace Scroggs, is a registered financial advisor currently at LNW located in Seattle, Washington.

Cassandra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Cassandra has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cassandra G Scroggs | Cassandra Grace Scroggs

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.

NAME OF OTHER BUSINESS: PAINTINGS & WRITING, INVESTMENT RELATED: NO, ADDRESS: ONLINE SALES - WWW.CASSANDRASCROGGS.COM, NATURE OF BUSINESS: SALE OF PERSONAL PAINTINGS, POETRY AND ESSAY WRITING START DATE: 3-24-2014, APX NUMBER OF HOURS PER WEEK: 5+ HOURS WEEK, APX NUMBER OF HOURS DURING TRADING HOURS:0 HOURS PER WEEK, BRIEF DESCRIPTION OF DUTIES: SALES OF PAINTINGS FOR GIFTS AND DECORATIONS BY COMMISSION ONLY. WRITING BASED ON FREELANCE WORK THAT MAY OR MAY NOT BE PAID BASED ON PUBLICATION TERMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra Grace Brown's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

March 3, 2022 - Present

LNW

Office #1: 801 Second Avenue, Suite 1600, Seattle, WA 98104-1564

RIA

CRD#: 113400

Seattle, WA

Past

May 4, 2018 - December 20, 2021

HIGHLAND PRIVATE WEALTH MANAGEMENT

RIA

CRD#: 109532

BELLEVUE, WA

Past

April 10, 2014 - April 11, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BELLEVUE, WA

Past

October 1, 2012 - March 21, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

LAKE FOREST PARK, WA

Past

August 16, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LAKE FOREST PARK, 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".

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 Approved)

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
(3/3/2022)

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: 5/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/15/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 Approved)

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Contact information

Main Address

801 Second Avenue, Suite 1600, Seattle, WA 98104-1564

Mailing Address

Phone number

(206) 464-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LNW WEALTH MANAGMENT LLC - PART 2A ANNUAL UPDATE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,463
AUM (Assets Under Management)	$ 4,526,284,775

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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Firm Stability Insights

Cassandra G. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra Grace Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLAND PRIVATE WEALTH MANAGEMENT

CETERA WEALTH SERVICES, LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2018

Series 63

Date: 8/26/2011

SIE

Date: 4/11/2018

Series 6

Date: 8/15/2011

Current Firm

LNW

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LNW

TRUST BUT VERIFY

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