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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-07-19
  • CO RA
    APPROVED
    Since 2023-07-19

Branch Locations

12080 Colorado Blvd., Thornton, CO 80241 • United States

1795 East Bridge Street, Brighton, CO 80601 • United States

10425 W Colfax Avenue, Lakewood, CO 80215 • 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
Bancwest Investment Services, Inc. Thornton CO 08/2015 07/2023
Bmo Bank Na Thornton CO 03/2011 Present
Lpl Financial Llc Broomfield CO 07/2023 Present
  • 08/2015 → 07/2023
    Bancwest Investment Services, Inc.
    Thornton, CO
  • 03/2011 → Present
    Bmo Bank Na
    Thornton, CO
  • 07/2023 → Present
    Broomfield, CO
Previous Registrations
  • 2016-03-30 → 2023-07-19
    Bancwest Investment Services, Inc.
    Thornton, CO
    Brighton, CO
    Thornton, CO
    Broomfield, CO
    Northglenn, CO
    Steamboat Springs, CO
    Longmont, CO
    Longmont, CO
    Denver, CO
    Aurora, CO
    Superior, CO
    Northglenn, CO
    Westminster, CO
    Commerce City, CO
    Lakewood, CO
    Brighton, CO
    Denver, CO
Other Businesses

1. 04/25/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Advisor - Start Date 02/01/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% 2. 04/25/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Notary - Start Date 02/12/2004 - 0 Hours Per Month/ During Securities Trading - Time Spent 1% 3. 04/25/2023 - Rachael Christensen - Investment Related - Thornton, CO - Real Estate Rental - Co-Owner - Start Date 04/15/2012 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 5% 4. 04/25/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-29
  • S66 Uniform Combined State Law Examination
    2016-03-29
Other Names
  • Rachael Suzanne Taylor

View on SEC IAPD

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