Colleen M. Bracy

ROBINSWOOD FINANCIAL

Kirkland, WA 98033

Some features on this profile are disabled

CRD#: 6786615

Professional summary

Colleen M Bracy, who also goes by Colleen Marie Bracy, Colleen Marie Herr, is a registered financial advisor currently at ROBINSWOOD FINANCIAL located in Kirkland, Washington.

Colleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Colleen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Colleen Marie Bracy | Colleen Marie Herr

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.

Real Estate Type of business: Real Estate Investment Abilene, TX Start date: 5/31/2023 Owner Hours per week: 2 Hours during trading: 0 Owner and co-host of rental property in Abilene, Texas. CBLB Capital LLC (s-corp), 14520 16th Park West, Unit B, Lynnwood, WA 98087, 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 Colleen M Bracy'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

May 3, 2024 - Present

ROBINSWOOD FINANCIAL

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

RIA

CRD#: 143417

Kirkland, WA

Past

August 30, 2017 - May 10, 2024

EDWARD JONES

RIA

CRD#: 250

LYNNWOOD, WA

Past

June 14, 2017 - May 10, 2024

EDWARD JONES

CRD#: 250

LYNNWOOD, 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".

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
(5/3/2024)

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: 8/14/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2017

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Colleen M. Bracy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colleen M Bracy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINSWOOD FINANCIAL

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ROBINSWOOD FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2017

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

Contact information

Similar Advisors