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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-12-22
WA RA APPROVED 2017-11-30
  • CA RA
    APPROVED
    Since 2017-12-22
  • WA RA
    APPROVED
    Since 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

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
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
  • 06/2011 → 11/2017
    The Prudential Insurance Company Of America
    Bellevue, WA
  • 06/2011 → 11/2017
    Bellevue, WA
  • 03/2013 → 11/2017
    Market To Market
    Colorado Springs, CO
  • 11/2017 → Present
    Seattle, WA
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-07-29
S63 Uniform Securities Agent State Law Examination 2011-07-18
  • S65 Uniform Investment Adviser Law Examination
    2013-07-29
  • S63 Uniform Securities Agent State Law Examination
    2011-07-18

View on SEC IAPD

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