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Everett, WA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2014-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Mukilteo | WA | 03/2014 | Present |
| Rainier Wealth Management Llc | Mukilteo | WA | 03/2014 | Present |
(1) 3/28/2014: Ranier Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 30%. (2) 08/02/2022 - Rainier Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 04/14/2014 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Rainier Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 3/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-17 |
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