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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 2013-05-06
WA RA APPROVED 2002-03-20
  • TX RA
    APPROVED_RES
    Since 2013-05-06
  • WA RA
    APPROVED
    Since 2002-03-20

Branch Locations

11127 Evergreen Way, Everett, WA 98204 • United States

Snohomish, 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
Dorian Studio Seattle WA 05/1995 Present
Becu Financial Services, Inc Tukwila WA 02/2001 Present
Linsco Private Ledger Tukwila WA 03/2002 Present
  • 05/1995 → Present
    Dorian Studio
    Seattle, WA
  • 02/2001 → Present
    Becu Financial Services, Inc
    Tukwila, WA
  • 03/2002 → Present
    Linsco Private Ledger
    Tukwila, WA
Other Businesses

1.05/05/04 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-22
S63 Uniform Securities Agent State Law Examination 1998-09-09
  • S65 Uniform Investment Adviser Law Examination
    1998-12-22
  • S63 Uniform Securities Agent State Law Examination
    1998-09-09

View on SEC IAPD

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