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James Matthias Zwickert

LPl Financial LLC

Seattle, WA

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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 2020-05-13
WA RA APPROVED 2009-05-22
  • TX RA
    APPROVED_RES
    Since 2020-05-13
  • WA RA
    APPROVED
    Since 2009-05-22

Branch Locations

326 Queen Anne Avenue N., #302, Seattle, WA 98109 • 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 Seattle WA 05/2009 Present
Previous Registrations
  • 2009-09-09 → 2013-12-20
    Financial Advocates Advisory Services
    Olympia, WA
  • 2005-05-09 → 2009-05-28
    Ameriprise Advisor Services, Inc.
    Bellevue, WA
    Seattle, WA
  • 2002-12-04 → 2005-05-12
    Ameriprise Financial Services, Llc
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-03
  • S66 Uniform Combined State Law Examination
    2002-12-03

View on SEC IAPD

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FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
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