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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-06-11 |
Branch Locations
23 S Wenatchee Ave., Ste 113, Wenatchee, WA 98801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Global Capital Corp. | Wenatchee | WA | 03/2016 | 06/2019 |
| 1St Global Advisors, Inc. | Wenatchee | WA | 03/2016 | 06/2019 |
| 1St Global Insurance Services, Inc. | Wenatchee | WA | 03/2016 | 06/2019 |
| Lpl Financial | East Wenatchee | WA | 06/2019 | Present |
1) 6/11/2019 - Non-Variable Insurance - Joseph Johnson - Investment Related - 10% - East Wenatchee, WA 2) 6/11/2019 - DBA for LPL Business (entity for LPL business) - Sage Hills Financial - Investment Related - 100% - East Wenatchee, WA 3) 11/21/2024 - North Pole Express - Outside/W-2 Employment - Conductor - Not Investment Related - Wenatchee, WA - Start Date 12/06/2024 - 20 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2010-10-08 |
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