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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-07
WA RA APPROVED 2011-10-18
  • TX RA
    APPROVED_RES
    Since 2021-04-07
  • WA RA
    APPROVED
    Since 2011-10-18

Branch Locations

303 91St Ave Ne, Ste C301, Lake Stevens, WA 98258 • United States

16310 Bothell Everett Hwy, Mill Creek, WA 98012 • United States

11127 Evergreen Way, Everett, WA 98204 • United States

Mill Creek, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Everett NC 10/2011 Present
Boeing Employee Credit Union Everett WA 10/2011 Present
  • 10/2011 → Present
    Everett, NC
  • 10/2011 → Present
    Boeing Employee Credit Union
    Everett, WA
Previous Registrations
Other Businesses

1. 10/17/2011: OTHER - BECU CREDIT UNION - FINANCIAL ADVISOR - 100% OF TIME. 2. 10/31/2011: Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services 3. 12/9/2011: REAL ESTATE RENTAL - 1 RENTAL. 8106 242ND ST SW # A EDMONDS, WA 98012 - TIME SPENT 1% - EDMONDS, WA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-16
S63 Uniform Securities Agent State Law Examination 1999-11-24
  • S65 Uniform Investment Adviser Law Examination
    2001-08-16
  • S63 Uniform Securities Agent State Law Examination
    1999-11-24

View on SEC IAPD

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