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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-12-22 |
| WA | RA | APPROVED | 2017-11-30 |
Branch Locations
19225 8Th Ave Ne Ste 201, Poulsbo, WA 98370 • United States
701 5Th Ave Ste 4200, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Bellevue | WA | 06/2011 | 11/2017 |
| Pruco Securities, Llc | Bellevue | WA | 06/2011 | 11/2017 |
| Market To Market | Colorado Springs | CO | 03/2013 | 11/2017 |
| Lpl Financial, Llc | Seattle | WA | 11/2017 | Present |
1.11/30/2017; PNW Signature Signings; Business Owner; Not Investment Related; Suite 204B Poulsbo,WA; Start Date 11/15/2017; 12hrs/mth; 0hrs during trading 2.11/30/2017; Michael J Bus; Seminar; Not Investment Related; Suite 204B Poulsbo,WA; Start Date 11/15/2017; 10hrs/mth; 0hrs during trading 3.04/03/2018; Investment products and services are offered through LPL Financial LLC using the DBA/trade name PNW Financial Wealth Management; Investment Related; at Reported Business Location(s); Start Date 11/30/2017; 240hrs/mth; 160hrs during trading 4.05/22/2018; PNW Financial, Inc.; Business Entity For Tax/Investment Purposes Only; Investment Related; at Reported Business Location(s); Start Date 11/30/2017; 5hrs/mth; 0hrs during trading 5.07/24/2018; PNW Financial Corporation; Business Entity For Tax/Investment Purposes Only; Investment Related; at Reported Business Location(s); Start Date 11/30/2017; 5hrs/mth; 0hrs during trading 6.08/07/2018; PNW Financial Investments; Business Entity For Tax/Investment Purposes Only; Investment Related; at Reported Business Location(s); Start Date 11/30/2017; 160hrs/mth; 0hrs during trading 7.09/26/2018; Investment products and services are offered through LPL Financial LLC using the DBA/trade name PNW Financial; Investment Related; at Reported Business Location(s); Start Date 11/30/2017; 160hrs/mth; 40hrs during trading 8.01/04/2022; PNW Financial / PNW Financial Benefits & Insurance; Insurance Agency; Investment Related; Suite 201 Poulsbo,WA; Start Date 11/30/2017; 160hrs/mth; 40hrs during trading 9.06/13/2024; none; Other - Business Entity; Not Investment Related; 23110 51st Ave W Mountlake Terrace,WA; Start Date 04/30/2024; 1hrs/mth; 0hrs during trading 10.06/25/2026; Rocket Chocolate; Business Owner; Not Investment Related; Lynnwood,WA; Start Date 07/01/2026; 5hrs/mth; 1hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-18 |
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