VORPAHL WING ADVISORS, INC. of SPOKANE, WA is an SEC-registered investment adviser (CRD 47548). Regulatory assets under management: $124.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Tim James Vorpahl | PRESIDENT, | — |
| Tim J. Vorpahl | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-03-11 | regulatory | WITHOUT ADMITTING OR DENYING LIABILITY, AND TO AVOID ONGOING LITIGATION FEES, VORPAHL AND VORPAHL WING SECURITIES INC. SIGNED AN AWC WHICH ALLEGED FAILURE TO SUPERVISE A FORMER REGISTERED REPRESENTATIVE OF VORPAHL WING SECURITIES. THE ALLOCATIONS WERE IN VIOLATION OF FINRA RULES 3110(A) AND 2010. TH… | Final | $25K |
| 2022-01-01 | regulatory | ACCORDING TO THE AWC, BETWEEN JANUARY 2022 AND MARCH 2023, VORPAHL WING CONDUCTED SECURITIES BUSINESS ON AT LEAST 10DAYS WHILE FAILING TO MAINTAIN ITS MINIMUM REQUIRED NET CAPITAL IN VIOLATION OF SECTION 15(C)(3) OF THE SECURITIES EXCHANGE ACT OF 1934. THE FIRM ALSO FAILED TO MAINTAIN BOOKS AND RECO… | Final | $25K |
| 2022-01-01 | regulatory | ACCORDING TO THE AWC, BETWEEN JANUARY 2022 AND MARCH 2023, VORPAHL WING CONDUCTED A SECURITIES BUSINESS ON AT LEAST 10DAYS WHILE FAILING TO MAINTAIN ITS MINIMUM REQUIRED NET CAPITAL. IN VIOLATION OF SECTION 15(C)(3) OF THE SEC ACT OF 1934. THE FIRM ALSO FAILED TO MAINTAIN BOOKS AND RECORDS REFLECTIO… | Final | $25K |
| — | regulatory | — | — | — |