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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-05-27 |
| WA | RA | APPROVED | 2007-11-13 |
Branch Locations
500 108Th Avenue Ne Suite 2100, Bellevue, WA 98004 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Bellevue | WA | 04/2003 | Present |
1.LHAUGAN PHOTOGRAPHY - NON-INVESTMENT RELATED - BUSINESS ADDRESS IS MY PERSONAL RESIDENCE - UNDERWATER PHOTOGRAPHY - SOLE PROPRIETOR - 4/1/19 - 4 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - DUTIES: TAKING PICTURES, POST PROCESSING PICTURES 2.RESPITE2 LLC; NOT INVESMENT RELATED - LLC LOCATED AT MY RESIDENCE; NATURE OF "BUSINESS"-MY BOAT IS REGISTERED AS AN LLC TO LIMIT MY LIABILITY WHEN GUESTS MAY BE ABOARD. I AM THE MANAGER OF THE LLC; START 12/21. HOURS PER MONTH-1; HOURS DURING TRADING HOURS - 0; DUTIES: FILE APPROPRIATE FORMS W/ STATE + LOCAL ENTITIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-16 |
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