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Richard Mason Lawrence

LPl Financial LLC

Mercer Island, WA

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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 2020-10-01
WA RA APPROVED 2020-10-01
  • TX RA
    APPROVED_RES
    Since 2020-10-01
  • WA RA
    APPROVED
    Since 2020-10-01

Branch Locations

9725 Se 36Th St Ste 303, 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
Ek Riley Investments, Llc Mercer Island WA 07/2005 11/2020
Lpl Financial Llc Mercer Island WA 10/2020 Present
  • 07/2005 → 11/2020
    Ek Riley Investments, Llc
    Mercer Island, WA
  • 10/2020 → Present
    Lpl Financial Llc
    Mercer Island, WA
Previous Registrations
  • 2008-05-30 → 2020-11-06
    Ek Riley Investments, Llc
    Mercer Island, WA
    Mercer Island, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2005-07-15 → 2007-12-31
    Ek Riley Advisors, Llc
    Seattle, WA
  • 2004-05-17 → 2005-07-19
    First Allied Securities, Inc.
    Mercer Island, WA
  • 2000-05-04 → 2004-05-17
    Ragen Mackenzie Investment Services, Llc
    Mercer Island, WA
Other Businesses

1. 08/31/2021 - No Business Name - Investment Related - Des Moines, WA - Real Estate Rental - Start Date: 07/06/2021 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-21
S63 Uniform Securities Agent State Law Examination 1999-07-22
  • S65 Uniform Investment Adviser Law Examination
    2000-04-21
  • S63 Uniform Securities Agent State Law Examination
    1999-07-22
Other Names
  • Rich Lawrence

View on SEC IAPD

Other Firms

DLK INVESTMENT ADVISORS, LLC
ACT SECURITIES, LLC
THE CAPROCK GROUP, LLC
LPL ENTERPRISE, LLC
PURE FINANCIAL ADVISORS, LLC
MUTUAL ADVISORS, LLC
MEGG INVESTMENT, LLC
S. R. SCHILL & ASSOCIATES, INC.

Other Investors

Edmund Matthew Van Winkle
NATALIE DAWN HOLM
Joseph John Gryniuk
PETER JOHN WATSON
BRADLEY JOSEPH KNUFFKE
DAVID MEEKS
Jamey Watson
Bon Myeon Koo

Other Offices

DLK INVESTMENT ADVISORS, LLC · MERCER ISLAND, WA
ACT SECURITIES, LLC · MERCER ISLAND, WA
THE CAPROCK GROUP, LLC · MERCER ISLAND, WA
LPL ENTERPRISE, 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

More in Mercer Island, WA

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