Clear Creek Financial Management, Llc

Allegations: RESPONDENT EXERCISED UNAUTHORIZED DISCRETION IN BROKERAGE CLIENT ACCOUNTS. Status: Final Sanction Detail: RESPONDENT MUST PAY $416.50 AT ENTRY OF CONSENT ORDER AND MAKE QUARTERLY PAYMENTS OF $833.33 UNTIL PAID IN FULL. Summary: FOR MORE INFORMATION PLEASE SEE CONSENT ORDER S-18-2490-18-CO01.

Allegations: RESPONDENT WAS ALLEGED TO FAILED TO DISCLOSE TO HIS FIRM THE REQUESTED INFORMATION AND DOCUMENTS REGARDING THE SALES OF SECURITIES OF PROMISSORY NOTES ISSUED BY HIS WIFE'S COMPANY, AND FOR REPRESENTING TO HIS FIRM THAT HIS WIFE'S COMPANY DID NOT SELL SECURITIES WHEN THE COMPANY HAD ISSUED PROMISSORY NOTES TO INVESTORS. Status: Final Sanction Detail: PRIOR TO REGISTRATION AS AN INVESTMENT ADVISOR REPRESENTATIVE OR SECURITIES SALESPERSON IS APPROVED FOR RESPONDENT, THE STATE MUST APPROVE A HEIGHTENED SUPERVISION FOR TWO YEARS. RESPONDENT WILL NOT BE A PRINCIPAL, OWNER, OFFICER, OR DIRECTOR OF AN INVESTMENT ADVISOR OR BROKER DEALER FOR TWO YEARS. Summary: RESPONDENT HAS BEEN PLACED ON HEIGHTENED SUPERVISION AT CURRENT SPONSORING FIRM FOR TWO YEARS FROM THE DATE OF THE ORDER 9/6/19. RESPONDENT WILL NOT BE A PRINCIPAL, OWNER, OFFICER, OR DIRECTOR OF AN INVESTMENT ADVISOR OR BROKER DEALER FOR TWO YEARS FROM THE DATE OF THE ORDER 9/6/19.