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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-12-11 |
| WA | RA | APPROVED | 2021-12-11 |
Branch Locations
1200 Westlake Ave N. Ste 1000, Seattle, WA 98109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Coldstream Capital Management Inc. | Bellevue | WA | 03/2016 | 12/2021 |
| Lpl Financial, Llc | Seattle | WA | 12/2021 | Present |
1. 12/11/2021 - ONE OAK WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ SEATTLE, WA 2. 12/11/2021 - William E Wockner Foundation - Not Investment Related - 1000 2nd Ave, Fl 34, Seattle, WA 98104 - Non-Profit Board Member - Start Date: 06/01/2016 - 10 Hours Per Month/0 Hours During Securities Trading - Time Spent 5% - Director/Trustee/Treasurer.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-06-06 |
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