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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-06 |
| WA | RA | APPROVED | 2022-08-05 |
Branch Locations
4423 Point Fosdick Dr. Ste 100, Gig Harbor, WA 98335 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
4423 Point Fosdick Dr. Suite 208, Gig Harbor, WA 98335 • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Tacoma | WA | 11/2014 | 03/2019 |
| National Life Group | Gig Harbor | WA | 04/2019 | 07/2022 |
| Equity Services Inc | Montpelier | VT | 04/2019 | 07/2022 |
| Lpl Financial Llc | Gig Harbor | WA | 08/2022 | Present |
1) 8/2022- New Foundation Wealth Group- DBA for LPL Business (entity for LPL business)- inv. related- Gig Harbor WA 2) 8/2022- New Foundation Wealth Group- non-variable insurance - president- inv. related- Gig Harbor, WA - star date 4/2019- 4hrs/mth 3) 08/11/2023 - Science and Math Institute of Tacoma - Outside/W-2 Employment - Not Investment Related - Tacoma, WA - Start Date 09/07/2023 - 18 Hours Per Month/ 12 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-19 |
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