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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-07-21 |
Branch Locations
1530 Westlake Ave N, Ste 700, Seattle, WA 98109 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Seattle | WA | 07/2001 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Seattle | WA | 10/2001 | 07/2021 |
| The Causing Group Llc | Seattle | WA | 10/2016 | Present |
| Lpl Financial Llc | Seattle | WA | 07/2021 | Present |
1. 10/8/2021 - THE CAUSING GROUP LLC - Not Investment Related - 2311 N 45th St. 289, Seattle, WA 98103 - Business Entity For Tax/Investment Purposes Only - Started 10/2016 - 2 Hours Per Month. 2. 10/8/2021 - WRI Investors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 01/24/2022 - The Causing Group, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 07/22/2021 - 10 Hours Per Month/10 Hours During Securities Trading. 4. 10/28/2024 - Real Estate Rental - Investment Related - Princeton, NJ - Start Date 09/27/2024 - 3 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-03 |
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