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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2008-05-07 |
| WA | RA | APPROVED | 2008-04-15 |
Branch Locations
1121 Ne 45Th St Ste 100, Seattle, WA 98105 • United States
404 128Th St Sw, Everett, WA 98204 • United States
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 | Seattle | WA | 04/2008 | Present |
| Washington State Employees Credit Union | Seattle | WA | 04/2004 | Present |
1. 03/04/2011 - NON-VARIABLE INSURANCE, WSECU INSURANCE SERVICES, 5% OF TIME SPENT. 2. 08/05/2011 - WSECU INVESTMENT MANAGMENT - REGISTERED INVESTMENT ADVISOR DBA - (FP) WSECU INVESTMENT MANAGMENT - 5%. 3. 08/05/2011 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name WSECU Investment Management - Investment Related - At Reported Business Location(s) - Time Spent 5% 4. 12/03/2024 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name WSECU Investment Services - Investment Related - At Reported Business Location(s) - Start Date 11/29/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-29 |
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