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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-09-01 |
| WA | RA | APPROVED | 2020-09-01 |
Branch Locations
1 Lake Bellevue Dr Ste 204, Bellevue, WA 98005-2417 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc. | Seattle | WA | 07/1994 | 08/2020 |
| Lpl Financial, Llc | Bellevue | WA | 08/2020 | Present |
1) 1/2007 - Real Estate Rental - Investment Related - 1 Lake Bellevue Drive Suite 204 Bellevue WA 98005 2) 1/2011 - Notary - Steven Rich - Not Investment Related - Bellevue, WA 98005
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-05 |
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