Johnathon Wong

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-07-18
WA	RA	APPROVED	2002-07-09

TX RA
APPROVED_RES

Since 2011-07-18
WA RA
APPROVED

Since 2002-07-09

Branch Locations

Tulalip, WA • 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

Organization	City	State	From	To
Lpl Financial Llc	Everett	WA	05/2000	Present

05/2000 → Present

Lpl Financial Llc

Everett, WA

Previous Registrations

2002-08-23 → 2010-05-14

Diversified Financial Advisors

Lynnwood, WA

Other Businesses

1. 11/12/2010 - OTHER-W-2 EMPLOYEE - GREGORY B COMBS PLLC - OFFICE MANAGER FOR MY DOMESTIC PARTNER'S VETERINARY CLINIC, GREGORY B COMBS PLLC, AND HAVE DISCLOSED THIS ACTIVITY EVERY YEAR FOR THE LAST 10 YEARS. - TIME SPENT 25%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-06-29
S63	Uniform Securities Agent State Law Examination	1994-09-27

S66 Uniform Combined State Law Examination

2002-06-29
S63 Uniform Securities Agent State Law Examination

1994-09-27

Other Names

John J Wong

View on SEC IAPD