Brendan King

WAVVEST WEALTH

CHICAGO, IL 60602

Some features on this profile are disabled

CRD#: 7532417

Professional summary

Brendan King, who also goes by Brendan Charles King, is a registered financial advisor currently at WAVVEST WEALTH located in Chicago, Illinois.

Brendan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Brendan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brendan Charles King

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.

Entity Name: Leland Investment related: No Address: www.joinleland.com Nature of the other business: Educational Services Position/Title/Relationship: Owner/Partner Start Date: 01/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am an MBA admissions coach. I help students applying to top business schools with their applications, interviews and school selection. There is no connection to JPMC and no overlap with my current role.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan King'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

March 9, 2025 - Present

WAVVEST WEALTH

Office #1: 24 East Washington St., Suite 875, Chicago, IL 60602

RIA

CRD#: 332096

CHICAGO, IL

Past

May 10, 2022 - May 1, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Chicago, IL

Past

April 22, 2022 - May 1, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Chicago, IL

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".

WAVVEST WEALTH

WAVVEST WEALTH | WAVVEST WEALTH LLC

CRD#: 332096 / SEC#: 801-130721

RIA

Registered Investment Advisory firm - (7/19/2024 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

Illinois
(3/9/2025)

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: 5/10/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/26/2022

Securities Industry Essentials Examination

Current Firm

WAVVEST WEALTH

WAVVEST WEALTH | WAVVEST WEALTH LLC

CRD#: 332096 / SEC#: 801-130721

RIA

Registered Investment Advisory firm - (7/19/2024 Approved)

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

24 East Washington St., Suite 875, Chicago, IL 60602

Mailing Address

Phone number

(630) 699-8602

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FEBRUARY 2025 (2/14/2025)

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 745,303

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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brendan King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan King's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAVVEST WEALTH

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

WAVVEST WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2022

Series 7TO

Date: 4/22/2022

SIE

Date: 3/26/2022

Current Firm

WAVVEST WEALTH

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAVVEST WEALTH

TRUST BUT VERIFY

Similar Advisors