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Randal Lynn Nicholls

LPl Financial LLC

Federal Way, WA

St. George, UT

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2024-07-10
TX RA APPROVED_RES 2013-09-19
WA RA APPROVED 2009-09-08
  • UT RA
    APPROVED
    Since 2024-07-10
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • WA RA
    APPROVED
    Since 2009-09-08

Branch Locations

33801 1St Way S Ste 371, Federal Way, WA 98003 • United States

St. George, UT • 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
Lpl Financial Corporation Federal Way WA 09/2009 Present
  • 09/2009 → Present
    Lpl Financial Corporation
    Federal Way, WA
Previous Registrations
  • 2002-03-28 → 2009-09-08
    Mutual Service Corporation
    Boston, MA
    Federal Way, WA
Other Businesses

1. 02/22/2011 - Compass Advisors - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-20
S63 Uniform Securities Agent State Law Examination 1983-06-28
  • S65 Uniform Investment Adviser Law Examination
    1998-02-20
  • S63 Uniform Securities Agent State Law Examination
    1983-06-28

View on SEC IAPD

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Other Offices

OSAIC WEALTH, INC. · FEDERAL WAY, WA
OSAIC WEALTH, INC. · FEDERAL WAY, WA
LPL FINANCIAL LLC · FEDERAL WAY, WA
EDWARD JONES · FEDERAL WAY, WA
EDWARD JONES · FEDERAL WAY, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · FEDERAL WAY, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · FEDERAL WAY, WA
LPL FINANCIAL LLC · FEDERAL WAY, WA

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