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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2021-06-28 |
| WA | RA | APPROVED | 2021-06-28 |
| OR | RA | APPROVED | 2020-10-19 |
Branch Locations
1100 Nw Wall St., Bend, OR 97703 • United States
1290 W Myrtle, Suite 220, Boise, ID 83702 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M Financial Group | Portland | OR | 01/2007 | 08/2017 |
| Raymond James Financial Services, Inc. | Bend | OR | 09/2017 | 12/2018 |
| Lpl Financial Llc | Bend | OR | 09/2020 | Present |
| First Interstate Bank | Bend | OR | 07/2019 | Present |
| None | Bend | OR | 01/2019 | 06/2019 |
1) 09/30/2020- First Interstate Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2) 6/11/2021 - First Interstate Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Wealth Advisor - Start Date: 9/30/2020 - 160 Hours Per Month/120 Hours During Securities Trading. 3) 11/14/2022 - Double T Ventures, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner - Start Date - 03/21/2008 - 1 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-17 |
| S65 | Uniform Investment Adviser Law Examination | 2008-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-27 |
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