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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2016-05-27
  • WA RA
    APPROVED
    Since 2016-05-27

Branch Locations

11127 Evergreen Way, Everett, WA 98204 • United States

19220 Alderwood Mall Parkway, Lynnwood, WA 98036 • United States

5006 132Nd St Se, Everett, WA 98208 • United States

Lynnwood, 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
Becu Everett WA 04/2016 Present
Lpl Financial Llc Everett WA 05/2016 Present
  • 04/2016 → Present
    Becu
    Everett, WA
  • 05/2016 → Present
    Everett, WA
Previous Registrations
Other Businesses

1)5/20/16- Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services 2)5/20/16- BECU Investment Services- Financial Institution Duty/ Licensed Admin- Inv. Related- at reported business location(s)- start date 4/25/16-100% 3)5/20/16-Real Estate Rental-3629 E 11th Ave, Spokane, WA 99202-5316- Owner- start date 5/1/16- 1% 4). 06/05/2019 - No business name - Investment related - At reported business location(s) - Notary Public - start date:06/04/2019 - 1 hr/mo - 1 hr during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-11
S63 Uniform Securities Agent State Law Examination 2015-02-18
  • S65 Uniform Investment Adviser Law Examination
    2015-03-11
  • S63 Uniform Securities Agent State Law Examination
    2015-02-18

View on SEC IAPD

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