Brian W Knotts

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
TX	RA	APPROVED_RES	2013-04-05
WA	RA	APPROVED	2005-09-26

TX RA
APPROVED_RES

Since 2013-04-05
WA RA
APPROVED

Since 2005-09-26

Branch Locations

201 Ne Park Plaza Dr #150, 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
Lpl Financial Llc	Vancouver	WA	09/2005	Present

09/2005 → Present

Lpl Financial Llc

Vancouver, WA

Previous Registrations

2005-01-07 → 2005-09-28

Wells Fargo Advisors Financial Network, Llc

Vancouver, WA
2002-01-29 → 2004-06-26

Wamu Investments, Inc.

Vancouver, WA

Other Businesses

1. 6/19/2008 - MOSAIC FINANCIAL GROUP, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-12

S66 Uniform Combined State Law Examination

2000-05-12

Other Names

Brian Knotts

View on SEC IAPD