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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 2022-12-06
OR RA APPROVED 2022-12-04
  • TX RA
    APPROVED_RES
    Since 2022-12-06
  • OR RA
    APPROVED
    Since 2022-12-04

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

2324 Se Risley Ave, Milwaukie, OR 97267 • United States

4020 Ne Fremont St. Suite B, Portland, OR 97212 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investmetns Portland OR 11/2006 11/2017
Securities America, Inc. Portland OR 11/2017 11/2022
Securities America Advisors Portland OR 11/2017 11/2022
Lpl Financial Llc Portland OR 11/2022 Present
  • 11/2006 → 11/2017
    Sii Investmetns
    Portland, OR
  • 11/2017 → 11/2022
    Securities America, Inc.
    Portland, OR
  • 11/2017 → 11/2022
    Securities America Advisors
    Portland, OR
  • 11/2022 → Present
    Portland, OR
Previous Registrations
  • 2017-11-27 → 2022-11-29
    Securities America Advisors, Inc.
    Portland, OR
    Portland, OR
  • 2006-11-08 → 2017-11-29
    Sii Investments, Inc.
    Portland, OR
    Appleton, WI
    Portland, OR
  • 2003-01-02 → 2006-11-09
    Portland, OR
    Portland, OR
    Portland, OR
Other Businesses

1- November Frazier Wealth Management / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / PORTLAND, OR 2- November NON-VARIABLE INSURANCE / INVESTMENT RELATED / PORTLAND, OR

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-23
  • S66 Uniform Combined State Law Examination
    2002-10-23

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