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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-03-21 |
Branch Locations
1920 N. Pittsburgh St., Suite D2, Kennewick, WA 99336 • 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 Llc | Kennewick | WA | 09/2009 | 07/2021 |
| Waypoint Financial Services | Kennewick | WA | 07/2021 | Present |
| Spinner Investment Management | Kennewick | WA | 09/2009 | Present |
| Annapurna Rocks And Minerals | Richland | WA | 10/2019 | Present |
| Cetera Advisors Llc | St Cloud | MN | 07/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 07/2021, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2) NAME OF OTHER BUSINESS: WAYPOINT FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE:07/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: SPINNER INVESTMENT MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX CONDUIT, START DATE: 09/2009, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR EXPENSE MANAGEMENT; 4) NAME OF OTHER BUSINESS: ANNAPURNA ROCKS AND MINERALS INVESTMENT RELATED: NO, ADDRESS: 219 ROCKY MOUNTAIN COURT, RICHLAND, WA, 99352 NATURE OF BUSINESS: GEOLOGICAL START DATE: 10/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: PURCHASE AND SELL ROCKS, GEMS AND MINERALS; 5) NAME OF OTHER BUSINESS: FRIENDS OF BADGER MOUNTAIN, INVESTMENT RELATED: NO, ADDRESS: 219 ROCKY MOUNTAIN COURT, RICHLAND, WA 99352, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2015, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BUILD HIKING TRAILS WITHIN THE COMMUNITY;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-05-10 |
| S65 | Uniform Investment Adviser Law Examination | 1996-05-10 |
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