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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

AuthorityCategoryStatusDate
WA RA APPROVED 2025-05-15
  • WA RA
    APPROVED
    Since 2025-05-15

Branch Locations

1048 116Th Ave Ne, Bellevue, WA 98004 • United States

690 Strander Blvd, Tukwila, WA 98188 • United States

10724 5Th Ave Ne, Seattle, WA 98125 • United States

1320 Madison Street, Seattle, WA 98104 • 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
Cuso Financial Services, Lp San Diego CA 01/2015 05/2025
Lpl Financial Llc Seattle WA 05/2025 Present
Salal Credit Union Seattle WA 05/2025 Present
  • 01/2015 → 05/2025
    Cuso Financial Services, Lp
    San Diego, CA
  • 05/2025 → Present
    Seattle, WA
  • 05/2025 → Present
    Salal Credit Union
    Seattle, WA
Previous Registrations
  • 2015-01-26 → 2025-05-15
    Cuso Financial Services, L.P.
    Seattle, WA
    Tukwila, WA
    Seattle, WA
    Seattle, WA
    San Diego, CA
    Seattle, WA
    Bellevue, WA
    Seattle, WA
  • 2013-01-28 → 2015-01-23
    Tukwila, WA
Other Businesses

1. 05/15/2025-Investment products and services are offered through LPL Financial LLC using the DBA/trade name Salal Investment Services- - INV Related- At Reported Business Location(s)- Start date 05/16/2025- 160 Hours Per Month- 160 Hours Per Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-01-23
  • S66 Uniform Combined State Law Examination
    2013-01-23

View on SEC IAPD

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