Geoffrey Edward Gatewood

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	2022-04-29
WA	RA	APPROVED	2022-04-29

TX RA
APPROVED

Since 2022-04-29
WA RA
APPROVED

Since 2022-04-29

Branch Locations

Wenatchee, WA • 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
Edward Jones	St Louis	MO	09/2015	04/2022
Lpl Financial Llc	Wenatchee	WA	04/2022	Present

09/2015 → 04/2022

Edward Jones

St Louis, MO
04/2022 → Present

Lpl Financial Llc

Wenatchee, WA

Previous Registrations

2016-01-19 → 2022-05-02

Edward Jones

Wenatchee, WA

Conneaut, WA

St Louis, MO

Wenatchee, WA

Other Businesses

1)04/29/2022 - Tailwind Financial Strategies - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 2022 2)10/04/2022 - No Business Name - Investment Related - Wenatchee, WA 98801 - Real Estate Rental - Start Date - 08/10/2022 10 Hours Per Month/2 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-20

S66 Uniform Combined State Law Examination

2015-11-20

View on SEC IAPD