Christopher E. Simon-wallace

ROBINSWOOD FINANCIAL

Kirkland, WA 98033

Some features on this profile are disabled

CRD#: 6742656

Professional summary

Christopher Edward Simon-wallace, who also goes by Christopher Edward Simon-wallace, Christopher Simon-wallace, Christopher Simon Wallace, Christopher Wallace, is a registered financial advisor currently at ROBINSWOOD FINANCIAL located in Kirkland, Washington.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Christopher has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Edward Simon-Wallace | Christopher Simon-Wallace | Christopher Simon Wallace | Christopher Wallace

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.

Fridley LLC (s-corp), 1630 16th Ave NE, Issaquah, WA 98029, A personal, solely owned, holding company and business platform, established in 2024, for work as a independent contractor operating solely, and full time, as a Registered Investment Advisor Representative for Robinswood Financial LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward Simon-wallace'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®

None

Experience

Current

November 28, 2023 - Present

ROBINSWOOD FINANCIAL

Office #1: 3425 Carillon Point Building 3000 4th Floor, Kirkland, WA, 98033

RIA

CRD#: 143417

Kirkland, WA

Past

October 29, 2022 - November 7, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Bellevue, WA

Past

October 29, 2022 - November 7, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Bellevue, WA

Past

September 28, 2022 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, WA

Past

September 28, 2022 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Bellevue, WA

Past

September 28, 2022 - November 7, 2023

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

December 8, 2021 - July 15, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

LYNNWOOD, WA

Past

December 2, 2021 - July 6, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LYNNWOOD, WA

Past

April 22, 2021 - August 19, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, WA

Past

April 22, 2021 - August 19, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Bellevue, WA

Past

April 22, 2021 - August 19, 2021

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

April 8, 2020 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Bellevue, WA

Past

April 8, 2020 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, WA

Past

April 8, 2020 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

January 6, 2020 - April 13, 2020

HARRISDIRECT LLC

RIA

CRD#: 42159

Seattle, WA

Past

October 11, 2019 - April 13, 2020

E*TRADE SECURITIES LLC

CRD#: 29106

SEATTLE, WA

Past

October 23, 2018 - October 9, 2019

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

May 22, 2018 - August 13, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

NEW BRIGHTON, MN

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.

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
(11/28/2023)

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 66

Date: 1/6/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2018

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher E. Simon-wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward Simon-wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

RBC CAPITAL MARKETS, LLC

U.S. BANCORP INVESTMENTS, INC.

Primary Firm SEC Registration

ROBINSWOOD FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2020

SIE

Date: 8/13/2018

Series 7

Date: 5/22/2018

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

Similar Advisors