Brian George Locke

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-11-21
WA	RA	APPROVED	2009-06-09

TX RA
APPROVED_RES

Since 2014-11-21
WA RA
APPROVED

Since 2009-06-09

Branch Locations

12770 Gateway Drive, Tukwila, WA 98168 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Linsco Private Ledger	Tukwilla	WA	11/2006	Present
Boeing Employee Credit Union	Tukwilla	WA	11/2006	Present

11/2006 → Present

Linsco Private Ledger

Tukwilla, WA
11/2006 → Present

Boeing Employee Credit Union

Tukwilla, WA

Previous Registrations

2009-07-20 → 2011-03-31

Financial Advocates Advisory Services

Olympia, WA
1997-07-16 → 2003-06-03

Ubs Financial Services Inc.

Seattle, WA

Other Businesses

1. 11/08/06 DBA - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services 2. 10/03/2019 - No business name - Investment related - Kihei, WA 96753 - Real Estate Rental - start date:11/01/2017 - 0 hrs/mo - 0 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-06-08
S63	Uniform Securities Agent State Law Examination	1991-08-29

S65 Uniform Investment Adviser Law Examination

2009-06-08
S63 Uniform Securities Agent State Law Examination

1991-08-29

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews