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Brent C Wells

LPl Financial LLC

Puyallup, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-10-14
  • WA RA
    APPROVED
    Since 2020-10-14

Branch Locations

Puyallup, WA • 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
Independent Financial Group Llc San Diego CA 02/2014 03/2018
Kms Financial Seattle WA 04/2018 09/2020
Unemployed San Diego CA 03/2018 04/2018
Lpl Financial Llc Puyallup WA 09/2020 Present
Previous Registrations
  • 2018-06-01 → 2020-09-28
    Kms Financial Services, Inc.
    Seattle, WA
    Seattle, WA
  • 2014-03-05 → 2018-04-20
    Independent Financial Group, Llc
    San Diego, CA
    Phoenix, AZ
  • 2008-05-13 → 2014-03-06
    Lpl Financial Llc
    San Diego, CA
    San Diego, CA
  • 2003-09-12 → 2008-03-05
    Td Ameritrade, Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-01
S63 Uniform Securities Agent State Law Examination 2000-10-23
  • S66 Uniform Combined State Law Examination
    2003-08-01
  • S63 Uniform Securities Agent State Law Examination
    2000-10-23
Designations
Other Names
  • Brent Carter Wells

View on SEC IAPD

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