Chase A. Middlesworth

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CRD#: 6536441

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.

Chase Allen Middlesworth, who also goes by Chase A Middlesworth, Chase Middlesworth, was a registered financial professional .

Chase is a previously registered financial professional and started their career in finance in 2015. Chase had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chase A Middlesworth | Chase Middlesworth

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

September 7, 2023 - September 28, 2023

ROBINSWOOD FINANCIAL

RIA

CRD#: 143417

KIRKLAND, WA

Past

September 25, 2019 - September 19, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BELLEVUE, WA

Past

September 25, 2019 - September 19, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BELLEVUE, WA

Past

October 5, 2016 - July 23, 2019

MORGAN STANLEY

RIA

CRD#: 149777

BELLEVUE, WA

Past

October 3, 2016 - July 23, 2019

MORGAN STANLEY

CRD#: 149777

BELLEVUE, WA

Past

March 29, 2016 - June 28, 2016

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

ANAHEIM, CA

Past

September 28, 2015 - June 28, 2016

SIGNATOR INVESTORS, INC.

CRD#: 468

ANAHEIM, CA

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".

ROBINSWOOD FINANCIAL

ROBINSWOOD FINANCIAL | ROBINSWOOD FINANCIAL LLC

CRD#: 143417 / SEC#: 801-68234

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

Washington

Registered Investment Advisory firm - (8/24/2007 Terminated)

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: 3/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROBINSWOOD FINANCIAL

ROBINSWOOD FINANCIAL | ROBINSWOOD FINANCIAL LLC

CRD#: 143417 / SEC#: 801-68234

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

Washington

Registered Investment Advisory firm - (8/24/2007 Terminated)

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Contact information

Main Address

3425 Carillon Point Building 3000 4th Floor, Kirkland, WA, 98033

Mailing Address

Phone number

(452) 296-1611

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBINSWOOD ADV 2B 2025 (3/31/2025)

ROBINSWOOD BROCHURE ADV 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,302
AUM (Assets Under Management)	$ 366,580,000

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

Chase A. Middlesworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ROBINSWOOD FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2016

Series 63

Date: 10/12/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/3/2016

Series 6

Date: 9/28/2015

Current Firm

ROBINSWOOD FINANCIAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBINSWOOD FINANCIAL

TRUST BUT VERIFY

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