0001669517-23-000089.txt : 20230414 0001669517-23-000089.hdr.sgml : 20230414 20230414153346 ACCESSION NUMBER: 0001669517-23-000089 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 ALLEN,KARLOS,CEIVOY, FILED AS OF DATE: 20230414 DATE AS OF CHANGE: 20230414 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PFM FINANCIAL ADVISORS LLC CENTRAL INDEX KEY: 0001669517 IRS NUMBER: 811642787 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-05146 FILM NUMBER: 23820955 BUSINESS ADDRESS: STREET 1: 1735 MARKET STREET STREET 2: 43RD FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19103-2700 BUSINESS PHONE: 215-567-6100 MAIL ADDRESS: STREET 1: 1735 MARKET STREET STREET 2: 43RD FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19103-2700 MA-I/A 1 primary_doc.xml MA-I/A 0001669517 XXXXXXXX CHERYL D.MADDOX 215-567-6100 MADDOXC@PFM.COM N 0001669517-19-000010 N KARLOS CEIVOY ALLEN Y 1 0001669517 PFM FINANCIAL ADVISORS LLC 01-07-2019 N 867-02030 SUPERVISED 01-07-2019 111 CONGRESS AVENUE 21ST FLOOR AUSTIN TX 78701 LOCATED 09-24-2019 1200 SMITH STREET TWO ALLEN CENTER HOUSTON TX 77002 KARLOS CEIVOY ALLEN-REESE 01-2022 PFM FINANCIAL ADVISORS LLC HOUSTON TX 78701 Y N DIRECTOR 01-2019 01-2022 PFM FINANCIAL ADVISORS LLC AUSTIN TX 78701 Y N SENIOR MANAGING CONSULTANT 05-2016 01-2019 TKG & ASSOCIATES LLC HOUSTON TX 77074 Y N SENIOR CONSULTANT 01-2016 05-2016 UNEMPLOYED PEARLAND TX 77584 N N UNEMPLOYED 03-2014 01-2016 STIFEL HOUSTON TX 77002 Y N VICE PRESIDENT 03-2010 03-2014 RICE FINANCIAL PRODUCTS HOUSTON TX 77002 Y N MANAGING DIRECTOR 09-2007 03-2010 RBC CAPTIAL MARKETS HOUSTON TX 77002 N N ASSOCIATE N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-14-2023 CHERYL D. MADDOX CHIEF COMPLIANCE OFFICER