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Susan Young Giannini

LPl Enterprise, LLC

Mercer Island, WA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-11-14
WA RA APPROVED 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14
  • WA RA
    APPROVED
    Since 2024-11-14

Branch Locations

7525 Se 24Th Street Suite 110, Mercer Island, WA 98040 • 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
Pruco Securities, Llc. Bellevue WA 10/1988 11/2024
Lpl Enterprise, Llc Mercer Island WA 11/2024 Present
Previous Registrations
  • 1998-08-04 → 2024-11-14
    Pruco Securities, Llc.
    University Place, WA
    Mercer Island, WA
    Bellevue, WA
    Mercer Island, WA
    University Place, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-22
S63 Uniform Securities Agent State Law Examination 1988-08-02
  • S65 Uniform Investment Adviser Law Examination
    1997-12-22
  • S63 Uniform Securities Agent State Law Examination
    1988-08-02
Other Names
  • Susan Young Giannini
  • Susan Carolyn Young
  • Susan Y Cain
  • Susan Carolyn Giannini

View on SEC IAPD

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Other Offices

DLK INVESTMENT ADVISORS, LLC · MERCER ISLAND, WA
ACT SECURITIES, LLC · MERCER ISLAND, WA
THE CAPROCK GROUP, LLC · MERCER ISLAND, WA
THE CAPROCK GROUP, LLC · MERCER ISLAND, WA
PURE FINANCIAL ADVISORS, LLC · Mercer Island, WA
MUTUAL ADVISORS, LLC · Mercer Island, WA
MEGG INVESTMENT, LLC · MERCER ISLAND, WA
S. R. SCHILL & ASSOCIATES, INC. · MERCER ISLAND, WA

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