Katie Shay Bogue

LPl Financial LLC

Morgan Hill, CA

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-22
CA	RA	APPROVED	2021-07-21

TX RA
APPROVED_RES

Since 2021-07-22
CA RA
APPROVED

Since 2021-07-21

Branch Locations

Morgan Hill, CA • United States

900 E Hamilton Ave Ste 230, Campbell, CA 95008 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Marquez-Hsieh Group	Campbell	CA	12/2015	07/2021
Waddell & Reed Inc	Campbell	CA	03/2018	07/2021
Lpl Financial	Campbell	CA	07/2021	Present

12/2015 → 07/2021

Marquez-Hsieh Group

Campbell, CA
03/2018 → 07/2021

Waddell & Reed Inc

Campbell, CA
07/2021 → Present

Lpl Financial

Campbell, CA

Previous Registrations

2018-10-16 → 2021-07-22

Waddell & Reed

Seattle, WA

Overland Park, KS

Campbell, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-10-15

S66 Uniform Combined State Law Examination

2018-10-15

Other Names

Katie Shay Keay

View on SEC IAPD

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