Charles Van Mason

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2024-01-12
TX	RA	APPROVED_RES	2007-05-01
WA	RA	APPROVED	2007-04-18

OR RA
APPROVED

Since 2024-01-12
TX RA
APPROVED_RES

Since 2007-05-01
WA RA
APPROVED

Since 2007-04-18

Branch Locations

8625 Sw Cascade Ave 240, Beaverton, OR 97008 • United States

201 Ne Park Plaza Dr Ste 214, Vancouver, WA 98684 • 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
Linsco/Private Ledger	Beaverton	OR	11/2006	Present

11/2006 → Present

Linsco/Private Ledger

Beaverton, OR

Previous Registrations

2003-09-02 → 2006-11-21

Householder Group, Estate & Retirement Specialists

Beaverton, OR
2003-03-12 → 2003-04-14

Householder Group, Estate & Retirement Specialists

Portland, OR
2000-12-05 → 2003-01-14

Commonwealth Financial Network

Portland, OR

Other Businesses

1. 11/17/06 - STONERIDGE WEALTH MANAGEMENT / DBA / 8625 SW CASCADE AVE #240, BEAVERTON, OR 97008

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-11-28
S63	Uniform Securities Agent State Law Examination	1998-08-28

S65 Uniform Investment Adviser Law Examination

2000-11-28
S63 Uniform Securities Agent State Law Examination

1998-08-28

View on SEC IAPD