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Gregg West Dawson

LPl Financial LLC

Seattle, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-10-28
  • WA RA
    APPROVED
    Since 2024-10-28

Branch Locations

Seattle, 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
Kms Financial Services, Inc Seattle WA 01/2010 10/2020
Lpl Financial, Llc Seattle WA 10/2020 Present
  • 01/2010 → 10/2020
    Kms Financial Services, Inc
    Seattle, WA
  • 10/2020 → Present
    Lpl Financial, Llc
    Seattle, WA
Previous Registrations
  • 2020-10-14 → 2024-02-14
    Lpl Financial Llc
    Seattle, WA
    Winchester, CA
    Seattle, WA
    Renton, WA
  • 2010-02-01 → 2020-10-15
    Kms Financial Services, Inc.
    Seattle, WA
    Seattle, WA
  • 2009-03-26 → 2010-02-04
    Waddell & Reed
    Seattle, WA
    Silverdale, WA
Other Businesses

1. Rental Property- Rental Property- WA 98103- Inv Rel- 5 hrs per mnth- start date 11/15/1986

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-25
  • S66 Uniform Combined State Law Examination
    2009-03-25
Other Names
  • Gregg Dawson
  • Gregg West Dawson

View on SEC IAPD

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