Wamu Investments, Inc. (Irvine)

Name: Wamu Investments, Inc.
Address: 17875 Von Karman Ave, 4 Th Floor, Irvine, CA, 92614
Telephone: 800-888-0055

Wamu Investments, Inc. is a large advisory firm based in Irvine. It manages $40.25 million of regulatory assets for 330 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Colorado, and 14 other states.

Wamu Investments provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wamu Investments: assets under management

The assets under management (AUM) of Wamu Investments, Inc. is $40.25 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Wamu Investments, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Wamu Investments, Inc.

Charles Mcdonald Sledd has been acting as President since 1 Jan 2003. Lisa Hammond Rhee joined the executive team most recently as the Finop.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Washington Mutual Brokerage Holdings	Parent company	1 Jul 1997	75% - 100%	91-1834301
Steve Wayne Dunstone	Vp trading desk/srop/municipal securities principal	1 Aug 2002	Other	1276330
Charles Mcdonald Sledd	Director	1 Jan 2003	Other	2588778
Mark C. Crowley	Senior vice president	1 May 2004	Other	4754496
Mark Christopher Crowley	Senior vice president	1 May 2004	Other	4754496
Robert Joab Jr Williams	Director	1 Jan 2006	Other	1244051
Scott Maw	Director	1 Jan 2006	Other	xxx-xx-xxxx
Aaron Matthew Persons	First vice president	1 Jan 2006	Other	2216151
Scott Harlan Maw	Director	1 Jan 2006	Other	xxx-xx-xxxx
Diane Pattison Novak	Senior vice president	1 Apr 2006	Other	1857183
Douglas Frederick Wilburn	Senior vice president/chief compliance officer	1 Apr 2006	Other	1407686
Dean Allen Evans	Crop	1 Aug 2006	Other	2993750
David Michael Williams	Senior vice president/finop	1 Jan 2007	Other	2756980
Sandra Allen Cavanaugh	Director	1 Apr 2007	Other	733873
Karen Forslund Lare	President/director	1 Apr 2007	Other	1027556
Kenneth Edward Kido	Director	1 Apr 2007	Other	5345921
Richard Gorham Stephenson	Director	1 Apr 2007	Other	5349711
Robert Marc Cecilio	Senior vice president, chief administrative officer	1 Oct 2007	Other	1539928
Stewart Macmillan Landefeld	Director	1 Jul 2008	Other	5595252
Inc. Washington Mutual Brokerage Holdings	Direct owner	1 Sep 2008	75% - 100%	91-1834301
Karen Forslund Lare	Director	1 Nov 2008	Other	1027556
Robert Marc Cecilio	Director, president, chief administrative officer	1 Nov 2008	Other	1539928
Alan James Chabot	Director	1 Mar 2009	Other	2617874
J. Christopher Henry	Director	1 Mar 2009	Other	5591455
Lisa Hammond Rhee	Finop	1 Apr 2009	Other	3251733

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Washington Mutual Bank	Parent	1 Jul 1997	75% - 100%	68-0172274
Inc. New American Capital	Parent	1 Jul 1997	75% - 100%	75-2255167
Inc. Washington Mutual	Parent	1 Jul 1997	75% - 100%	91-1653725
National Association Jpmorgan Chase Bank	Indirect parent	1 Sep 2008	75% - 100%	13-4994650
Jpmorgan Chase & Co.	Indirect parent	1 Sep 2008	75% - 100%	13-2624428

Based in Irvine

The principal office where Wamu Investments, Inc. performs its advisory services is located at 17875 Von Karman Ave, 4 Th Floor, Irvine, CA 92614, which is also the mailing address of the firm. An additional office of the firm is in Santa Clara, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-888-0055 or by fax 949-442-5294. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at www.wamuinvestments.com.