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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2009-11-13
  • WA RA
    APPROVED
    Since 2009-11-13

Branch Locations

701 Fifth Avenue #4200, Seattle, WA 98104 • United States

3436 Ne 45Th Street, Seattle, WA 98105 • United States

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
Lpl Financial Llc Seattle WA 11/2009 Present
Financial Advocates Advisory Services Seattle WA 04/2018 11/2021
  • 11/2009 → Present
    Seattle, WA
  • 04/2018 → 11/2021
    Financial Advocates Advisory Services
    Seattle, WA
Previous Registrations
  • 2009-10-07 → 2009-11-05
    Kms Financial Services, Inc.
    Mercer Island, WA
Other Businesses

1. 8/31/2018 - Brundige Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:04/01/2018 - 160 Hours Per Month/160 Hours During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-06
  • S66 Uniform Combined State Law Examination
    2009-10-06
Other Names
  • Wendy Lee Potts

View on SEC IAPD

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