Cathy Jean Schreier

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-09-08
WA	RA	APPROVED	2009-09-08

TX RA
APPROVED_RES

Since 2009-09-08
WA RA
APPROVED

Since 2009-09-08

Branch Locations

Bellevue, WA • 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

Organization	City	State	From	To
Washington Fncl Serv.	Redmond	WA	10/1985	Present
Lpl Financial, Llc	Bellevue	WA	09/2009	Present

10/1985 → Present

Washington Fncl Serv.

Redmond, WA
09/2009 → Present

Lpl Financial, Llc

Bellevue, WA

Previous Registrations

2002-01-22 → 2009-09-08

Mutual Service Corporation

Boston, MA

Bellevue, WA

Other Businesses

1. 08/12/2010 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - NO TIME SPENT -PHYLLIS N SKEENS, MOTHER, FIRST TRUSTEE, LEONARD SKEENS, SECOND TRUSTEE, AFTER THEIR PASSING THEN MY BROTHER AND I ARE CO-SUCESSOR TRUSTESS (SKEENS LIVING TRUST) 2. 9/9/2010 - WA FIRST FINANCIAL SERVICES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 3.11/20/2013: TAX PREP/ACCOUNTING/BOOKKEEPING - WA FIRST FINANCIAL SERVICES - PREPARE TAX RETURNS FROM CLIENT SUBMITTED FORMS. - TIME SPENT 25%.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-09-16

S63 Uniform Securities Agent State Law Examination

1981-09-16

Other Names

Cathy Mohr Schreier
Cathy Mohr
Cathy Jean Mohr

View on SEC IAPD