Legal & Regulation
Regulated & Trusted
Security, privacy, and sound risk controls are built into the platform from the ground up.
Regulatory licenses & registrations
Coombs Wealth Advisory, LLC is an SEC-registered investment adviser (CRD# 281132, SEC# 801-129867).
SEC Registered
Registered investment adviser (SEC# 801-129867).
CRD Registered
Firm CRD# 281132, on the SEC's Investment Adviser Public Disclosure site.
Fiduciary Duty
As an SEC-registered adviser, we owe clients a fiduciary duty under the Investment Advisers Act of 1940.
State Regulated
Registered to conduct business across all 50 states.
Compliance framework
Anti-Money Laundering
AML program under the BSA and USA PATRIOT Act with transaction monitoring and reporting.
Know Your Customer
Identity, address, and biometric verification at onboarding.
Data Protection
GDPR, CCPA, and SOC 2 Type II controls; AES-256 and TLS 1.3 encryption.
Risk Management
Position limits, circuit breakers, and margin enforcement.
Key legal documents
Coombs Wealth Advisory, LLC is an investment adviser registered with the SEC (SEC# 801-129867, CRD# 281132). Registration does not imply a certain level of skill or training. Investments are subject to risk, including the possible loss of principal. Advisory services are provided in accordance with the Investment Advisers Act of 1940 and applicable state law.