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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2010-06-15
  • WA RA
    APPROVED
    Since 2010-06-15

Branch Locations

12770 Gateway Drive, Tukwila, WA 98168 • 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
Boeing Employee Credit Union Tukwila WA 06/2016 Present
Lpl Financial Llc Tukwila WA 06/2016 Present
  • 06/2016 → Present
    Boeing Employee Credit Union
    Tukwila, WA
  • 06/2016 → Present
    Tukwila, WA
Previous Registrations
  • 1998-07-01 → 2009-02-09
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Spokane, WA
    Portland, OR
    Seattle, WA
    Spokane, WA
    Seattle, WA
    Federal Way, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Lynnwood, WA
    Seattle, WA
    Seattle, WA
    Olympia, WA
    Spokane, WA
    Seattle, WA
    Seattle, WA
    Puyallup, WA
    Boise, ID
    Tacoma, WA
    Richland, WA
    Sequim, WA
    Bremerton, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Coeur D'ALene, ID
    Kent, WA
    Bainbridge Island, WA
    Wenatchee, WA
    Yakima, WA
    Kent, WA
    Seattle, WA
Other Businesses

1. 8/2/2017 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services 2. 01/24/2018 - No Business Name - Not Investment Related - Seattle, WA - Real Estate Rental - Start Date 01/15/2018 - 1 Hours Per Month / 0 Hours During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-13
S63 Uniform Securities Agent State Law Examination 1993-06-23
  • S65 Uniform Investment Adviser Law Examination
    1993-07-13
  • S63 Uniform Securities Agent State Law Examination
    1993-06-23

View on SEC IAPD

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