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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-07-26
  • WA RA
    APPROVED
    Since 2024-07-26

Branch Locations

432 Central Way, Kirkland, WA 98033 • United States

432 Central Way, Kirkland, WA 98033 • United States

201 Wells Avenue South, Renton, WA 98057 • United States

17512 State Route 9 Se, Snohomish, WA 98296 • 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
Mml Investors Services, Llc Seattle WA 05/2022 05/2024
Massmutual Life Insurance Company Seattle WA 12/2021 05/2024
Washington State University Pullman WA 08/2016 05/2021
Washington State University- Residence Life Pullman WA 07/2018 05/2020
Keybank Tacoma WA 06/2020 08/2020
The Home Course Dupont WA 06/2021 11/2021
Ceramic Tile Store Tacoma WA 05/2018 09/2019
Unemployed Dupont WA 11/2021 12/2021
Equitable Advisors Bellevue WA 05/2021 10/2021
Lpl Financial Llc Snohomish WA 05/2024 Present
First Financial Northwest Bank Snohomish WA 05/2024 04/2025
Global Federal Credit Union Snohomish WA 04/2025 Present
  • 05/2022 → 05/2024
    Mml Investors Services, Llc
    Seattle, WA
  • 12/2021 → 05/2024
    Massmutual Life Insurance Company
    Seattle, WA
  • 08/2016 → 05/2021
    Washington State University
    Pullman, WA
  • 07/2018 → 05/2020
    Washington State University- Residence Life
    Pullman, WA
  • 06/2020 → 08/2020
    Keybank
    Tacoma, WA
  • 06/2021 → 11/2021
    The Home Course
    Dupont, WA
  • 05/2018 → 09/2019
    Ceramic Tile Store
    Tacoma, WA
  • 11/2021 → 12/2021
    Unemployed
    Dupont, WA
  • 05/2021 → 10/2021
    Equitable Advisors
    Bellevue, WA
  • 05/2024 → Present
    Snohomish, WA
  • 05/2024 → 04/2025
    First Financial Northwest Bank
    Snohomish, WA
  • 04/2025 → Present
    Global Federal Credit Union
    Snohomish, WA
Other Businesses

1-05/30/2024 - First Financial Wealth Services - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Financial Wealth Servicers - Investment Related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - 0 Hrs/Mth - 0 Hrs During Trading. 2) 08/08/2025 - Global Retirement & Investment Services - Investment Related - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Start Date:07/31/2025 - 160 Hrs/Mth - 160 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-29
S63 Uniform Securities Agent State Law Examination 2023-09-07
  • S65 Uniform Investment Adviser Law Examination
    2024-02-29
  • S63 Uniform Securities Agent State Law Examination
    2023-09-07
Other Names
  • Pat Summit

View on SEC IAPD

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