Carla L. Avendano

LNW

Seattle, WA 98104-1564

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CRD#: 7035684

Professional summary

Carla Lisseth Avendano is a registered financial advisor currently at LNW located in Seattle, Washington.

Carla is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Carla has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carla Lisseth Avendano'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

September 22, 2023 - Present

LNW

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

RIA

CRD#: 113400

Seattle, WA

Past

August 21, 2023 - September 20, 2023

EMPIRICAL WEALTH MANAGEMENT

RIA

CRD#: 152622

BELLEVUE, WA

Past

February 7, 2020 - June 12, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WASHINGTON, DC

Past

May 21, 2019 - June 12, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WASHINGTON, DC

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
(9/22/2023)

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: 11/12/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/21/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/28/2018

Securities Industry Essentials 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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Carla L. Avendano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carla Lisseth Avendano's CRS (Customer Relationship Summary).

Certified licenses

Experience

LNW

EMPIRICAL WEALTH MANAGEMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/2019

Series 7TO

Date: 5/21/2019

SIE

Date: 12/28/2018

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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