Douglas Esterly

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2026-03-30
TX	RA	APPROVED	2026-03-26

WA RA
APPROVED

Since 2026-03-30
TX RA
APPROVED

Since 2026-03-26

Branch Locations

2102 E Main Ste 202, Puyallup, WA 98372 • 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

Organization	City	State	From	To
First Investors Corporation	Seattle	WA	07/2015	11/2016
Edward Jones	St.LOuis	MO	04/2017	03/2026
Foresters Financial Services	Tukwila	WA	08/2015	11/2016
Unemployed	Kent	WA	12/2016	03/2017
Lpl Financial	Puyallup	WA	03/2026	Present

07/2015 → 11/2016

First Investors Corporation

Seattle, WA
04/2017 → 03/2026

Edward Jones

St.LOuis, MO
08/2015 → 11/2016

Foresters Financial Services

Tukwila, WA
12/2016 → 03/2017

Unemployed

Kent, WA
03/2026 → Present

Lpl Financial

Puyallup, WA

Previous Registrations

2017-08-30 → 2026-03-27

Edward Jones

Bonney Lake, WA

Kent, WA

St Louis, MO

Buckley, WA

Issaquah, WA

Enumclaw, WA

Other Businesses

1. 03/2026 - Cascade Investment Planning - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - Bonney Lake, WA, 98391 - OBA Start Date: 04/02/2026.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-07-13
S63	Uniform Securities Agent State Law Examination	2015-09-11

S66 Uniform Combined State Law Examination

2017-07-13
S63 Uniform Securities Agent State Law Examination

2015-09-11

Other Names

Doug Robert Esterly
Doug Robert Esterly
Douglas Robert Esterly

View on SEC IAPD