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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 2022-02-18
WA RA APPROVED 2005-09-02
  • TX RA
    APPROVED_RES
    Since 2022-02-18
  • WA RA
    APPROVED
    Since 2005-09-02

Branch Locations

314 W 15Th St Ste 100, Vancouver, WA 98660 • United States

Ridgefield, 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
Lpl Financial, Llc Vancouver WA 09/2005 Present
Financial Advocates Advisory Services Vancouver WA 10/2013 Present
  • 09/2005 → Present
    Vancouver, WA
  • 10/2013 → Present
    Financial Advocates Advisory Services
    Vancouver, WA
Previous Registrations
  • 2012-03-05 → 2023-08-17
    Financial Advocates Advisory Services
    Olympia, WA
    Vancouver, WA
  • 2006-01-03 → 2007-10-16
    Laurus Wealth Management
    Vancouver, WA
  • 2003-04-02 → 2005-08-24
    Morgan Stanley Dw Inc.
    Vancouver, WA
Other Businesses

1. 9/15/2005 DBA ONLY - LAURUS WEALTH MANAGEMENT - VANCOUVER, WA. 2. 1/13/2012 - FOR ACCOUNTING PURPOSES ONLY - WARREN WEALTH MANAGEMENT - S CORP FOR ACCOUNTING PURPOSES ONLY; NOT A PUBLIC ENTITY; NOT VISIBLE TO CLIENTS OR PUBLIC. - VANCOUVER, WA. 3. 8/8/2018 - LWM Properties - Investment Related - 314 W. 15th Street, Vancouver, WA 98660 - Real Estate Rental - Start Date:01/01/2018 - 2 Hours Per Month/0 Hours During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-25
  • S66 Uniform Combined State Law Examination
    2002-07-25
Other Names
  • Walter D. Warren

View on SEC IAPD

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