RIA Intelligence

WAMU INVESTMENTS, INC.

CRD #599 SEC #801-69259 IRVINE, CA 800-888-0055
SEC Registered Broker-Dealer
Total AUM
$46.5M
Discretionary
$0
Employees
--
Clients
0
Accounts
293

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Feb 18, 2009
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
ARENS, STACEY DARLENEIDIRECTORNA Control
ARENS, STACEY DARLENEIDIRECTORNA Control
BAKKEN, JANINE MARIEIVICE PRESIDENT, FINANCENA Control
BAKKEN, JANINE MARIEIVICE PRESIDENT, FINANCENA Control
CALVO, JOELIPRESIDENTNA Control
CALVO, JOELIPRESIDENTNA Control
CECILIO, ROBERT MARCIDIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICERNA Control
CECILIO, ROBERT MARCIDIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICERNA Control
CECILIO, ROBERT MARCIDIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICERNA Control
CHABOT, ALAN JAMESIDIRECTORNA Control
CHABOT, ALAN JAMESIDIRECTORNA Control
DAVIS, CRAIG STEVENIDIRECTORNA Control
DAVIS, CRAIG STEVENIDIRECTORNA Control
HENRY, J. CHRISTOPHERIDIRECTORNA Control
HENRY, J. CHRISTOPHERIDIRECTORNA Control
HENSELMAN, HANS DIETERISROP/CROPNA Control
HENSELMAN, HANS DIETERISROP/CROPNA Control
HILTON, JOHN JAMESIVICE PRESIDENTNA Control
HILTON, JOHN JAMESIVICE PRESIDENTNA Control
KRAHLING, SUZANNE MARIEITREASURER/FINOP - FIRST VICE PRESIDENTNA Control
KRAHLING, SUZANNE MARIEITREASURER/FINOP - FIRST VICE PRESIDENTNA Control
MAW, SCOTT HARLANIDIRECTORNA Control
PERSONS, AARON MATTHEWIFIRST VICE PRESIDENTNA Control
PERSONS, AARON MATTHEWIFIRST VICE PRESIDENTNA Control
PERSONS, AARON MATTHEWIFIRST VICE PRESIDENTNA Control
RADFORD, CHRISTOPHER BLAKEIDIRECTOR OF SALESNA Control
RADFORD, CHRISTOPHER BLAKEIDIRECTOR OF SALESNA Control
RHEE, LISA HAMMONDIFINOPNA Control
RHEE, LISA HAMMONDIFINOPNA Control
SCHERSCHLIGT, SCOTT DANAIVICE PRESIDENTNA Control
SCHERSCHLIGT, SCOTT DANAIVICE PRESIDENTNA Control
SIMONSON, MARY KATHRYNIFIRST VICE PRESIDENT, COMPLIANCENA Control
SIMONSON, MARY KATHRYNIFIRST VICE PRESIDENT, COMPLIANCENA Control
STAVA, BRUCE MICHAELIVICE PRESIDENTNA Control
STAVA, BRUCE MICHAELIVICE PRESIDENTNA Control
TYNER, RUTHANN OLSONIFIRST VICE PRESIDENTNA Control
TYNER, RUTHANN OLSONIFIRST VICE PRESIDENTNA Control
WILBURN, DOUGLAS FREDERICKISENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICERNA Control
WILBURN, DOUGLAS FREDERICKISENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICERNA Control
WILBURN, DOUGLAS FREDERICKISENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICERNA Control
WILLIAMS, DAVID MICHAELISENIOR VICE PRESIDENT/FINOPNA Control
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DEDIRECT OWNERE Control
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DEDIRECT OWNERE Control
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DEDIRECT OWNERE Control
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DEPARENT COMPANYE Control
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DEPARENT COMPANYE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
JPMORGAN CHASE & CO.DEJPMORGAN CHASE BANK, NATIONAL ASSOCIATIONE Control
JPMORGAN CHASE & CO.DEJPMORGAN CHASE BANK, NATIONAL ASSOCIATIONE Control
JPMORGAN CHASE & CO.DEJPMORGAN CHASE BANK, NATIONAL ASSOCIATIONE Control
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONDEWASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.E Control
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONDEWASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.E Control
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONDEWASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.E Control
NEW AMERICAN CAPITAL, INC.DEWASHINGTON MUTUAL BANK, FAE Control
NEW AMERICAN CAPITAL, INC.DEWASHINGTON MUTUAL BANK, FAE Control
WASHINGTON MUTUAL BANK, FADEWASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.E Control
WASHINGTON MUTUAL BANK, FADEWASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.E Control
WASHINGTON MUTUAL, INC.DENEW AMERICAN CAPITAL, INC.E Control
WASHINGTON MUTUAL, INC.DENEW AMERICAN CAPITAL, INC.E Control

Registrations

Federal

IA
Feb 18, 2009 REGISTERED

Notice Filings (18)

AZ CA CO CT FL GA ID IL MA NJ NM NV NY OR SD TX UT WA

Address

17875 VON KARMAN AVE, 4TH FLOOR
IRVINE, CA 92614
United States
Phone: 800-888-0055