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James Dayton Guard

HBC FINANCIAL SERVICES, PLLC·SEATTLE, Washington
Series 65Clean record18 years registeredHBC FINANCIAL SERVICES, PLLC
1200 WESTLAKE AVE N, STE 902, SEATTLE, WA 98109-3529CRD# 5569407Firm CRD# 115751

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Dayton Guard · SEATTLE, WA
Registration
CRD #5569407 · HBC FINANCIAL SERVICES, PLLC · 18 years registered
Brand Profile
Not yet started
01

Career History

COLDSTREAM WEALTH MANAGEMENT
Jan 2025 – present
HBC FINANCIAL SERVICES, PLLC
Jul 2008 – Jan 2025
SEATTLE, WA
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · July 30, 2008
Years registered · 18
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
HBC FINANCIAL SERVICES, PLLC
CRD 115751 · SEC 801-63872
AUM
$447M
Regulatory assets under management
Employees
5
674 client accounts
Services offered by HBC FINANCIAL SERVICES, PLLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at HBC FINANCIAL SERVICES, PLLC →
Introduction

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05

Frequently Asked Questions

What services does James Dayton Guard offer?
James Dayton Guard specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SEATTLE, Washington for a consultation.
What are James Dayton Guard's credentials?
James Dayton Guard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Dayton Guard located?
James Dayton Guard is based in SEATTLE, Washington, working with HBC FINANCIAL SERVICES, PLLC. Their office serves clients in the SEATTLE metropolitan area and surrounding communities.
How does James Dayton Guard charge for services?
James Dayton Guard's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is HBC FINANCIAL SERVICES, PLLC?
HBC FINANCIAL SERVICES, PLLC has approximately 5 employees and manages $447M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at HBC FINANCIAL SERVICES, PLLC

David Russell Harrison
SEATTLE, WA
James B. Claypool
SEATTLE, WA
Janon Lee Niess
SEATTLE, WA

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