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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-06-12
WA RA APPROVED 2003-05-12
  • TX RA
    APPROVED_RES
    Since 2019-06-12
  • WA RA
    APPROVED
    Since 2003-05-12

Branch Locations

33801 1St Way S Ste 371, Federal Way, WA 98003 • United States

Black Diamond, 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
OrganizationCityStateFromTo
Lpl Financial Llc Federal Way WA 05/2003 Present
Previous Registrations
  • 1998-04-30 → 2003-11-10
    Shelgren Financial Group, Inc.
    Renton, WA
Other Businesses

(1) 10/20/2003: BRYAN GORMLEY - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - IVN REL - AT REPORTED BUSINESS LOCATION(S)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-31
S63 Uniform Securities Agent State Law Examination 1994-09-08
  • S65 Uniform Investment Adviser Law Examination
    1997-12-31
  • S63 Uniform Securities Agent State Law Examination
    1994-09-08

View on SEC IAPD

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