Samantha Rae Wiggins

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	2026-06-23
CA	RA	APPROVED	2025-01-01
FL	RA	APPROVED	2025-01-01
OR	RA	APPROVED	2025-01-01
WA	RA	APPROVED	2021-07-21

TX RA
APPROVED_RES

Since 2026-06-23
CA RA
APPROVED

Since 2025-01-01
FL RA
APPROVED

Since 2025-01-01
OR RA
APPROVED

Since 2025-01-01
WA RA
APPROVED

Since 2021-07-21

Branch Locations

Gaston, OR • United States

500 Sw 116Th Ave, Beaverton, OR 97225 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Waddell & Reed, Inc	Lake Oswego	OR	11/2013	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Lake Oswego	OR	01/2014	07/2021
Swiggins Llc	Lake Oswego	OR	09/2017	07/2021
Ewga	Palm Beach Gardens	FL	10/2017	10/2020
Lpl Financial Llc	Lake Oswego	OR	07/2021	Present

11/2013 → 07/2021

Waddell & Reed, Inc

Lake Oswego, OR
01/2014 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Lake Oswego, OR
09/2017 → 07/2021

Swiggins Llc

Lake Oswego, OR
10/2017 → 10/2020

Ewga

Palm Beach Gardens, FL
07/2021 → Present

Lpl Financial Llc

Lake Oswego, OR

Previous Registrations

2015-04-22 → 2021-07-21

Waddell & Reed

Lake Oswego, OR

Seattle, WA

Lake Oswego, OR

Other Businesses

1. 11/11/2021 - AOCP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/30/2021 - 5 Hours Per Month During Securities Trading. 2. 9/2017 - Business Entity For Tax/Investment Purposes Only - Swiggins, LLC - Not Investment Related - 2hr/mon - Lake Oswego, OR 97035

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-03-31
S63	Uniform Securities Agent State Law Examination	2012-06-30

S65 Uniform Investment Adviser Law Examination

2015-03-31
S63 Uniform Securities Agent State Law Examination

2012-06-30

Other Names

Samantha Rae Wiggins
Samantha Wood

View on SEC IAPD