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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2004-05-27
  • OR RA
    APPROVED
    Since 2004-05-27

Branch Locations

Happy Valley, OR • United States

10121 Se Sunnyside Rd #300, Clackamas, OR 97015 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Clackamas OR 05/2004 Present
  • 05/2004 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Clackamas, OR
Previous Registrations
  • 2003-04-22 → 2004-06-02
    Ws Griffith Securities, Inc.
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-11
S63 Uniform Securities Agent State Law Examination 1991-03-07
  • S66 Uniform Combined State Law Examination
    2003-04-11
  • S63 Uniform Securities Agent State Law Examination
    1991-03-07

View on SEC IAPD

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