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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2018-02-14 |
Branch Locations
5801 Soundview Dr #250, Gig Harbor, WA 98335 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Gig Harbor | WA | 05/2016 | 02/2018 |
| Lpl Financial Llc | Gig Harbor | WA | 02/2018 | Present |
1. 10/9/2017 - HARBOR WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - President. 2. 10/5/2018 - Zenith - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/30/2018 - 10 Hours Per Month/1 Hour During Securities Trading - Fixed insurance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-02 |
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