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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2025-09-04
  • NV RA
    APPROVED
    Since 2025-09-04

Branch Locations

1 E Liberty St Ste 101, Reno, NV 89501 • 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
E.K. Riley Investments Seattle WA 01/2013 11/2020
Prospera Financial Services Inc. Dallas TX 12/2020 05/2021
Lpl Financial, Llc Seattle WA 05/2021 09/2023
Lpl Financial Llc Reno NV 06/2025 Present
Washoe County Regional Parks & Open Space Washoe County NV 08/2023 02/2024
Reno Police Department Reno NV 12/2023 06/2025
  • 01/2013 → 11/2020
    E.K. Riley Investments
    Seattle, WA
  • 12/2020 → 05/2021
    Dallas, TX
  • 05/2021 → 09/2023
    Seattle, WA
  • 06/2025 → Present
    Reno, NV
  • 08/2023 → 02/2024
    Washoe County Regional Parks & Open Space
    Washoe County, NV
  • 12/2023 → 06/2025
    Reno Police Department
    Reno, NV
Previous Registrations
Other Businesses

1) 2025-09-03 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - SEAPINE - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-08-20 - 160hrs/mth - 8hrs/mth during trading 2) 2026-05-06 - Washoe County Regional Parks and Open Space - Outside/W-2 Employment - N - Reno NV - 2026-05-04 - 32hrs/mth - 0hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-09
S63 Uniform Securities Agent State Law Examination 2016-11-01
  • S65 Uniform Investment Adviser Law Examination
    2017-05-09
  • S63 Uniform Securities Agent State Law Examination
    2016-11-01
Other Names
  • Gina Renee Lee

View on SEC IAPD

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