Karen Hesketh Thomas

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
AK	RA	APPROVED	2021-07-21
CA	RA	APPROVED	2021-07-21
CO	RA	APPROVED	2021-07-21
DC	RA	APPROVED	2021-07-21
FL	RA	APPROVED	2021-07-21
ID	RA	APPROVED	2021-07-21
IN	RA	APPROVED	2021-07-21
MD	RA	APPROVED	2021-07-21
NE	RA	APPROVED	2021-07-21
NJ	RA	APPROVED	2021-07-21
NM	RA	APPROVED	2021-07-21
NC	RA	APPROVED	2021-07-21
PA	RA	APPROVED	2021-07-21
TX	RA	APPROVED	2021-07-21
WA	RA	APPROVED	2021-07-21
WY	RA	APPROVED	2021-07-21

AK RA
APPROVED

Since 2021-07-21
CA RA
APPROVED

Since 2021-07-21
CO RA
APPROVED

Since 2021-07-21
DC RA
APPROVED

Since 2021-07-21
FL RA
APPROVED

Since 2021-07-21
ID RA
APPROVED

Since 2021-07-21
IN RA
APPROVED

Since 2021-07-21
MD RA
APPROVED

Since 2021-07-21
NE RA
APPROVED

Since 2021-07-21
NJ RA
APPROVED

Since 2021-07-21
NM RA
APPROVED

Since 2021-07-21
NC RA
APPROVED

Since 2021-07-21
PA RA
APPROVED

Since 2021-07-21
TX RA
APPROVED

Since 2021-07-21
WA RA
APPROVED

Since 2021-07-21
WY RA
APPROVED

Since 2021-07-21

Branch Locations

Seattle, 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

Organization	City	State	From	To
Waddell & Reed Inc	Seattle	WA	04/2002	07/2021
Kt And Mckee/Karen Einberger Tax Services	Seattle	WA	11/1999	04/2019
Various Insurance Carriers For W & R Insurance Agencies	Seattle	WA	06/2002	07/2021
Einberger Financial Planning Inc	Seattle	WA	02/2007	07/2021
Lpl Financial Llc	Seattle	WA	07/2021	Present

04/2002 → 07/2021

Waddell & Reed Inc

Seattle, WA
11/1999 → 04/2019

Kt And Mckee/Karen Einberger Tax Services

Seattle, WA
06/2002 → 07/2021

Various Insurance Carriers For W & R Insurance Agencies

Seattle, WA
02/2007 → 07/2021

Einberger Financial Planning Inc

Seattle, WA
07/2021 → Present

Lpl Financial Llc

Seattle, WA

Previous Registrations

2002-05-21 → 2021-07-21

Waddell & Reed

Seattle , WA

Seattle, WA

Bellevue, WA

Lynnwood, WA

Seattle, WA

Seattle, WA

Other Businesses

1) 2018/2019 - KE Financial Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 0HR/MO / 516 Malden Ave E, Seattle WA 98112 2) 04/27/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date - 04/01/2022 - 4 Hours Per Month/ 4 Hours During Securities Trading 3) 02/04/2025 - Elliott Bay Financial Partners - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:01/31/2025 - 167 Hrs/Mth - 8 Hrs During Trading. 4) 01/15/2026 / Elliott Bay Financial Partners, Inc. / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Seattle WA - Start Date 01/01/2007 - 173 hours per month/ during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-05-20

S66 Uniform Combined State Law Examination

2002-05-20

Designations

Other Names

Karen Hesketh Thomas
Karen Hesketh Einberger
Karen Einberger
Karen Hesketh Einberger

View on SEC IAPD