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Charlotte Stevens Riviera

LPl Financial LLC

Bellevue, WA

CRD 1108753

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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

AuthorityCategoryStatusDate
WA RA APPROVED 2006-05-08
  • WA RA
    APPROVED
    Since 2006-05-08

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
OrganizationCityStateFromTo
Linsco Private Ledger Bellevue WA 05/2006 Present
  • 05/2006 → Present
    Linsco Private Ledger
    Bellevue, WA
Previous Registrations
  • 1999-05-15 → 2006-03-02
    Keybanc Capital Markets Inc.
    Bellevue, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-15
S63 Uniform Securities Agent State Law Examination 1983-05-09
  • S65 Uniform Investment Adviser Law Examination
    1997-08-15
  • S63 Uniform Securities Agent State Law Examination
    1983-05-09
Other Names
  • Charlotte Esther Garmann
  • Charlotte Garmann
  • Charlotte Esther Stevens

View on SEC IAPD

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