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Everett, WA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2012-08-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Mukilteo | WA | 03/2012 | Present |
| Rainier Wealth Management Llc | Mukilteo | WA | 03/2012 | Present |
1. 9/19/2012 - Rainier Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 75% Time Spent. 2. 3/11/2014 - Rainier Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 08/02/2022 - Rainier Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR, President and CCO - Start Date - 03/20/2014 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Rainier Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 3/2014. 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, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-17 |
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