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10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-13 |
| WA | RA | APPROVED | 2021-04-07 |
Branch Locations
10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Tacoma | WA | 08/2009 | 11/2016 |
| Charles Schwab Bank | Tacoma | WA | 08/2009 | 11/2016 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2018 | 03/2021 |
| Cetera Investment Advisers Llc | Tacoma | WA | 09/2018 | 03/2021 |
| Heritage Bank | Tacoma | WA | 09/2018 | 03/2021 |
| Unemployed | Tacoma | WA | 11/2016 | 08/2018 |
| Lpl Financial, Llc | Bellevue | WA | 03/2021 | Present |
| Scs (Sound Consulting Services) | Bellevue | WA | 03/2021 | Present |
1) 3/2021 - DBA for LPL Business (entity for LPL business) - Northwest SCS - Bellevue, WA 98004 2) 3/2021 - DBA for LPL Business (entity for LPL business) - SCS - Bellevue, WA 98004 3) 7/9/2021 - SCS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/30/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through SCS, an independent investment advisor firm. I started this business activity in 03/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 02/22/2022- ASH Brokerage - Investment Related - 888 South Harrison Street, Suite #900. Fort Wayne, IN 46802 - Non-Variable Insurance - Producer - Start Date - 09/01/2021 - 4 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-21 |
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