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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-09-22
  • WA RA
    APPROVED
    Since 2023-09-22

Branch Locations

1601 Cooper Point Rd. Nw, Olympia, WA 98502 • United States

Spokane Valley, 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
OrganizationCityStateFromTo
Financial Advocates Olympia WA 06/2016 02/2017
Lpl Financial, Llc Olympia WA 06/2016 Present
Financial Advocates Investment Management Olympia WA 01/2018 Present
  • 06/2016 → 02/2017
    Financial Advocates
    Olympia, WA
  • 06/2016 → Present
    Olympia, WA
  • 01/2018 → Present
    Financial Advocates Investment Management
    Olympia, WA
Previous Registrations
  • 2018-01-02 → 2023-10-06
    Financial Advocates Investment Management
    Olympia, WA
Other Businesses

1. 3/24/2017 - FINANCIAL ADVOCATES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 02/28/2017 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50%. 2. 9/6/2019 - Rover.com - Not Investment Related - Home Based - Pet Sitting - Started 09/05/2019 - 80 Hours Per Month/0 Hours During Securities Trading - Host pets at home through Rover.com.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-27
  • S66 Uniform Combined State Law Examination
    2017-11-27

View on SEC IAPD

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