AS
Alexa J. Steffens
FREESTONE CAPITAL MANAGEMENT
Seattle, WA 98104
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CRD#: 7555889
AS
Professional summary
Alexa Julianne Steffens is a registered financial advisor currently at FREESTONE CAPITAL MANAGEMENT, LLC located in Seattle, Washington.
Alexa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Alexa 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.
1) EASTSIDE CATHOLIC MIDDLE SCHOOL, 232 228TH AVE SE, SAMMAMISH, WA, 02/2023, LACROSSE COACH, NIR, 24 HR/MO, 0 HR/MO TRADING. 2) LIO INSURANCE, 300 CONSHOHOCKEN STATE RD, STE 235, CONSHOHOCKEN, PA, 12/2023, TECH SUPPORT, NIR, 40 HR/MO, 30 HR/MO TRADING. 3) PERRY L. SMITH CONSULTING, 40 LAKE BELLEVUE DR, STE 100, BELLEVUE, WA, 6/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MO, 3 HR/MO TRADING. 4) PERRY L. SMITH CONSULTING LLC, 40 LAKE BELLEVUE DR, STE 100, BELLEVUE, WA, 06/2023, WEALTH AND TAX PLANNING, INV REL, 40 HR/MO, 3 HR/MO TRADING. 5) PERRY L. SMITH, REAL ESTATE BROKER, 40 LAKE BELLEVUE DR, STE 100, BELLEVUE, WA, 06/2023, REAL ESTATE ASSOCIATE, NIR, 10 HR/MO, 4 HR/MO TRADING. 6) RYAN LANHAM, 4190 S LEANATO AVE, MERIDIAN, ID, 03/2024, TECH SUPPORT, NIR, 12 HR/MO, 0 HR/MO TRADING. 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 04/2024 AS ADVISORY REP OF AN RIA. INV REL, 160 HR/MO, 120 HR/MO TRADING. 8) ALEXA STEFFENS, 232 228TH AVE SE, SAMMAMISH, WA, 05/2024, LACROSSE COACH, NIR, 8 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Alexa Julianne Steffens's 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®
NoneExperience
Current
February 24, 2025 - Present
FREESTONE CAPITAL MANAGEMENT, LLC
Office #1: 701 5th Avenue 74th Floor, Seattle, WA 98104RIA
CRD#: 145711
Seattle, WA
Past
April 2, 2024 - February 6, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Bellevue, WA
Past
December 8, 2023 - February 6, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Bellevue, 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".
FC
FREESTONE CAPITAL MANAGEMENT, LLC
FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC
CRD#: 145711 / SEC#: 801-69073
RIA
Registered Investment Advisory firm - (4/25/2008 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(2/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/8/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
FC
FREESTONE CAPITAL MANAGEMENT, LLC
FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC
CRD#: 145711 / SEC#: 801-69073
RIA
Registered Investment Advisory firm - (4/25/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
701 5th Avenue 74th Floor, Seattle, WA 98104
Mailing Address
Phone number
(206) 707-7300
Established
Firm type
Fiscal year end
# of Employees
117
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,231 |
| AUM (Assets Under Management) | $ 11,493,619,610 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/16/2025 | ||
| 11/21/2024 | ||
| 09/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
