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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-11-10 |
| WA | RA | APPROVED | 2023-11-10 |
Branch Locations
2731 77Th Ave Se Suite 205, Mercer Island, WA 98040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E.K. Riley Investments, Llc | Seattle | WA | 12/2018 | 11/2020 |
| Paccar | Bellevue | WA | 03/2016 | 05/2018 |
| Unemployed | Issaquah | WA | 06/2018 | 11/2018 |
| Lpl Financial Llc | Issaquah | WA | 10/2020 | 11/2023 |
| Wells Fargo Advisors Financial Network, Llc | Mercer Island | WA | 11/2023 | Present |
(1). 2/12/2021 - Schumaker-Bertsch, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 1/7/2021 - 5 Hours Per Month/0 Hours During Securities Trading - LPL Fees and Commissions. (2). 12/09/2021 - Rainier Pacific Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 160 Hours Per Month/8 Hours During Securities Trading. (3) 09/20/2022 - Outdoor Trading Post LLC - Not Investment Related - 4441 Black Lake Belmore RD SW, Olympia, WA 98512, Website - Business Owner - 50% owner - Start Date - 08/30/2022 - 5 Hours Per Month/0 Hours During Securities Trading SCHUMAKER AND BERTSCH LLC; INV RELATED; MERCER ISLAND, WA; 1099 BUSINESS ACTIVITY;50% OWNERSHIP; START DATE: 11/13/2023; 1 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-24 |
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