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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 2013-05-31
WA RA APPROVED 2011-03-29
  • TX RA
    APPROVED_RES
    Since 2013-05-31
  • WA RA
    APPROVED
    Since 2011-03-29

Branch Locations

12770 Gateway Drive, Tukwila, WA 98168 • United States

321 Ramsay Way, Kent, WA 98032 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Tukwila WA 03/2011 Present
Boeing Employee Credit Union Tukwila WA 03/2011 Present
  • 03/2011 → Present
    Lpl Financial
    Tukwila, WA
  • 03/2011 → Present
    Boeing Employee Credit Union
    Tukwila, WA
Previous Registrations
  • 2009-05-02 → 2011-03-09
    Chase Investment Services Corp.
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Des Moines, WA
    Seattle, WA
    Seatac, WA
    Burien, WA
    Tukwila, WA
    Seattle, WA
    Seattle, WA
  • 2008-04-08 → 2009-05-02
    Wamu Investments, Inc.
    Seattle, WA
    Des Moines, WA
    Tukwila, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seatac, WA
    Burien, WA
  • 2006-04-19 → 2008-04-01
    Everett, WA
    Tacoma, WA
  • 2006-04-06 → 2006-04-12
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2000-09-06 → 2002-06-12
    Banc Of America Investment Services, Inc.
    Seattle, WA
Other Businesses

1. 04/18/2011 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BECU Investment Services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-05
S63 Uniform Securities Agent State Law Examination 1998-12-29
  • S65 Uniform Investment Adviser Law Examination
    2006-04-05
  • S63 Uniform Securities Agent State Law Examination
    1998-12-29
Other Names
  • Lance K Nekota

View on SEC IAPD

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