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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2010-11-18
  • WA RA
    APPROVED
    Since 2010-11-18

Branch Locations

1500 Fairview Ave E, Suite 100, Seattle, WA 98102 • United States

1500 Fairview Ave E, Suite 100, Seattle, WA 98102 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Washington State Employees Credit Union Olympia WA 10/2010 Present
Lpl Financial Llc Charlotte NC 11/2010 Present
  • 10/2010 → Present
    Washington State Employees Credit Union
    Olympia, WA
  • 11/2010 → Present
    Charlotte, NC
Previous Registrations
  • 2011-01-10 → 2024-12-18
    Wsecu Investment Management
    Seattle, WA
    Seattle, WA
    Bellevue, WA
  • 2009-10-20 → 2010-10-29
    Chase Investment Services Corp.
    Issaquah, WA
    Issaquah, WA
  • 2009-09-10 → 2009-09-28
    Msi Financial Services, Inc.
    Bellevue, WA
  • 2007-01-18 → 2008-12-03
    Redmond, WA
Other Businesses

1. 11/07/2010- Investment products and services are offered through LPL Financial LLC using the DBA/trade name WSECU INVESTMENT MANAGEMENT - Investment Related - At Reported Business Location(s) 2. 03/04/2011 NON-VARIABLE INSURANCE, WSECU INSURANCE SERVICES, 5%. 3. 08/05/2011 - WSECU INVESTMENT MANAGEMENT - REGISTERED INVESTMENT ADVISOR DBA - (FP) WSECU INVESTMENT MANAGEMENT - 5%. 4. 10/25/2022 - BalaYoga - Not Investment Related - 9750 NE 119th Way in Kirkland, WA 98034 - Outside/W-2 Employment - Substitute yoga teacher - Start Date: 07/05/2022 - 3 Hours Per Month/0 Hours During Securities Trading. 5. 12/03/2024- Investment products and services are offered through LPL Financial LLC using the DBA/trade name WSECU Investment Services - Investment Related - At Reported Business Location(s) - Start Date 11/29/2024. 6. 12/27/2024- ProClub Bellevue- Outside/W-2 Employment- Yoga Instructor- Not Investment Related - 4455 148th Ave NE, Bellevue, WA 98007 - Start Date 12/16/2024 - 8 Hours per Month/ 0 Hours During Trading 7. 12/27/2024- Be One Yoga- Outside/W-2 Employment- Yoga Instructor- Not Investment Related - 11220 NE 124th St, Kirkland, WA 98034 - Start Date 08/15/2023 - 4 Hours per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-27
S63 Uniform Securities Agent State Law Examination 2003-05-02
  • S66 Uniform Combined State Law Examination
    2006-12-27
  • S63 Uniform Securities Agent State Law Examination
    2003-05-02

View on SEC IAPD

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