GS
Gwen L. Straley
3RD CREEK INVESTMENTS
Seattle, WA
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CRD#: 6447170
GS
Professional summary
Gwen Linnea Straley, CFP® is a registered financial advisor currently at 3RD CREEK INVESTMENTS located in Seattle, Washington.
Gwen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Gwen has worked at 1 firm and has passed the Series 65 exam.
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.
1. 3RD CREEK VENTURES, LLC; INVESTMENT-RELATED. PO BOX 5406, INCLINE VILLAGE, NV 89450 ANGEL INVESTING/VENTURE CAPITAL FIRM TRUSTEE BEGINNING 09/15/2006 I SPEND APPROXIMATELY 1 HOUR PER MONTH ASSISTING COMPANIES IN THE PORTFOLIO WITH ACCOUNTING, TAX PREPARATION, AND OPERATIONS. 2. 3RD CREEK MEDICAL VENTURES, LLC; INVESTMENT-RELATED. PO BOX 5406, INCLINE VILLAGE, NV 89450 ANGEL INVESTING/VENTURE CAPITAL FIRM TRUSTEE BEGINNING 06/29/2012 I SPEND APPROXIMATELY 2 HOURS PER MONTH ASSISTING WITH OPERATIONS. 3. Dave B. Straley, CPA DBA 3RD CREEK ACCOUNTING, NOT INVESTMENT-RELATED. PO BOX 5406, INCLINE VILLAGE, NV 89450 ACCOUNTING AND TAX FIRM RELATIONSHIP TO FIRM: I USED TO WORK FOR 3RD CREEK ACCOUNTING FROM OCT 2013-DEC 2014. ALTHOUGH I NOW WORK WITH 3RD CREEK INVESTMENTS, I ASSIST OCCASIONALLY WITH 3RD CREEK ACCOUNTING TAX AND ACCOUNTING TASKS. I SPEND APPROXIMATELY 15 HOURS PER MONTH ASSISTING WITH ACCOUNTING AND TAX TASKS. 4. 3rd Creek Foundation, Not investment-related. PO Box 5406, Incline Village, NV 89450 Non-profit Private Family Foundation Board President and Executive Director beginning January, 2012. I spend approximately 15 hours per month on activities supporting this organization.
CRS (Client Relationship Summary) - RIA
Click below to view Gwen Linnea Straley'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®
CFP®
Start date: 2020
Experience
Current
June 5, 2015 - Present
3RD CREEK INVESTMENTS
RIA
CRD#: 115945
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".
3C
3RD CREEK INVESTMENTS
3RD CREEK | THIRD CREEK INVESTMENTS, INC. | THIRD CREEK INVESTMENTS | THIRD CREEK INVESTMENSTS, INC. | 3RD CREEK INVESTMENTS, INC. | 3RD CREEK INVESTMENTS
CRD#: 115945 / SEC#: 801-120802
RIA
Registered Investment Advisory firm - (4/15/2021 Approved)Nevada
Registered Investment Advisory firm - (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - (5/20/2021 Terminated)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
Nevada(8/31/2020)
IAR
Washington(6/5/2015)
Current Firm
3C
3RD CREEK INVESTMENTS
3RD CREEK | THIRD CREEK INVESTMENTS, INC. | THIRD CREEK INVESTMENTS | THIRD CREEK INVESTMENSTS, INC. | 3RD CREEK INVESTMENTS, INC. | 3RD CREEK INVESTMENTS
CRD#: 115945 / SEC#: 801-120802
RIA
Registered Investment Advisory firm - (4/15/2021 Approved)Nevada
Registered Investment Advisory firm - (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - (5/20/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Incline Village, NV
Mailing Address
Po Box 5406, Incline Village, NV 89450-5406
Phone number
(775) 832-9222
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 334 |
| AUM (Assets Under Management) | $ 162,494,648 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2024 | ||
| 01/31/2024 | ||
| 12/21/2022 |
Red Flags
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