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Ryan Nau

LPl Financial LLC

Bonney Lake, WA

San Diego, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-12-11
WA RA APPROVED 2023-12-11
  • TX RA
    APPROVED_RES
    Since 2023-12-11
  • WA RA
    APPROVED
    Since 2023-12-11

Branch Locations

Bonney Lake, WA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Kms Financial Services, Inc. Seattle WA 08/2016 03/2021
Securities America Seattle WA 02/2020 03/2021
Equitable Advisors, Llc New York NY 04/2021 11/2023
Equitable Bellevue WA 04/2021 11/2023
Lpl Financial Llc San Diego CA 11/2023 Present
  • 08/2016 → 03/2021
    Kms Financial Services, Inc.
    Seattle, WA
  • 02/2020 → 03/2021
    Securities America
    Seattle, WA
  • 04/2021 → 11/2023
    Equitable Advisors, Llc
    New York, NY
  • 04/2021 → 11/2023
    Equitable
    Bellevue, WA
  • 11/2023 → Present
    Lpl Financial Llc
    San Diego, CA
Previous Registrations
  • 2021-06-21 → 2023-03-02
    Equitable Advisors, Llc
    Bellevue, WA
  • 2020-11-06 → 2021-04-01
    Securities America Advisors, Inc.
    Seattle, WA
  • 2017-01-10 → 2020-11-06
    Kms Financial Services, Inc.
    Seattle, WA
    Seattle, WA
Other Businesses

1) 11/27/2023- Real Estate Rentals- property co-owner -Inv. Related- BONNEY LAKE, WA - start dat 4/2015- 4 to 5 hrs/mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-11
S63 Uniform Securities Agent State Law Examination 2006-06-06
  • S66 Uniform Combined State Law Examination
    2013-04-11
  • S63 Uniform Securities Agent State Law Examination
    2006-06-06
Other Names
  • Ryan Nau
  • Ryan Michael Nau
  • Ryan M Nau

View on SEC IAPD

Other Firms

LPL ENTERPRISE, LLC
INDEPENDENT FINANCIAL GROUP, LLC
U.S. BANCORP ADVISORS, LLC
COASTEDGE PARTNERS, LLC
WELLS FARGO CLEARING SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BRECKINRIDGE CAPITAL ADVISORS INC

Other Investors

HYE JOUNG LEE
ANTHONY CRAIG COUCH
CRAIG ROBERT NETT
SUMMER NICOLE RUDDER
CECILIA BEACH BROWN
ROBERT WHALEY DIEHL
MARK ALBERT KINNEY
RODNEY KEITH DOOLEY

Other Offices

LPL ENTERPRISE, LLC · SAN DIEGO, CA
LPL FINANCIAL LLC · SAN DIEGO, CA
INDEPENDENT FINANCIAL GROUP, LLC · SAN DIEGO, CA
LPL FINANCIAL LLC · SAN DIEGO, CA
U.S. BANCORP ADVISORS, LLC · San Diego, CA
COASTEDGE PARTNERS, LLC · SAN DIEGO, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN DIEGO, CA
AMERIPRISE FINANCIAL SERVICES, LLC · San Diego, CA

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