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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 2022-10-14
WA RA APPROVED 2022-01-18
  • TX RA
    APPROVED_RES
    Since 2022-10-14
  • WA RA
    APPROVED
    Since 2022-01-18

Branch Locations

10900 Ne 8Th St.15Th Fl #1550, Bellevue, WA 98004 • United States

Scs

10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-10
WA RA APPROVED 2021-03-23
  • TX RA
    APPROVED_RES
    Since 2022-10-10
  • WA RA
    APPROVED
    Since 2021-03-23

Branch Locations

10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwfs Equities Inc/Great-West Financial Greenwood Village CO 10/2012 03/2020
Lpl Financial, Llc Bellevue WA 07/2020 Present
Unemployed Seattle WA 03/2020 07/2020
Scs Bellevue WA 01/2021 Present
  • 10/2012 → 03/2020
    Gwfs Equities Inc/Great-West Financial
    Greenwood Village, CO
  • 07/2020 → Present
    Bellevue, WA
  • 03/2020 → 07/2020
    Unemployed
    Seattle, WA
  • 01/2021 → Present
    Bellevue, WA
Other Businesses

1. 08/25/2022 - SCS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 12/01/2020 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through SCS, an independent investment advisor firm. I started this business activity in 12/2020. 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, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 08/29/2022 - NorthwestSCS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/07/2020 - 0 Hours Per Month/0 Hours During Securities Trading 3. 10/03/2022 - SCS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/07/2020 - 160 Hours Per Month/6 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-09-25
S63 Uniform Securities Agent State Law Examination 2001-08-21
  • S65 Uniform Investment Adviser Law Examination
    2020-09-25
  • S63 Uniform Securities Agent State Law Examination
    2001-08-21

View on SEC IAPD

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