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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2012-09-25 |
| CA | RA | APPROVED | 2010-01-15 |
Branch Locations
8795 Sw Illahee Ct Ste 916, Wilsonville, OR 97070 • 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 | Portland | OR | 01/2010 | Present |
1. 06/04/2012: NO BUSINESS NAME/ INV REL/ AT REPORTED BUSINESS LOCATION(S) / ACT AS CUSTODIAN AND FINANCIAL ADVISOR FOR MY NIECE'S INHERITANCY WHO IS A MINOR / TIME SPENT 10%. 2. 7/15/2014: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - KLEIN WEALTH MANAGEMENT - 1 HOUR PER MONTH DURING TRADING - PORTLAND, OR. 3. 2/27/2017 - Underwriting Services of America/IMO - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/24/2017 - 5 Hours Per Month/1 Hour During Securities Trading - Selling life insurance, Long Term care and Fixed Annuities. 4. 9/29/2020 - BackNine Insurance and Financial Services, Inc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/01/2020 - 5 Hours Per Month During Securities Trading - Selling life insurance, Long Term care and Fixed Annuities. 5. 01/10/2022 - KLEIN WEALTH MANAGEMENT, Inc - Not Investment Related - 401 NE 19TH AVE #150 Portland, OR 97232 - Business Entity For Tax/Investment Purposes Only - Business Owner - Start Date: 04/20/2020 - 160 Hours Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-18 |
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