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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2012-12-03
  • WA RA
    APPROVED
    Since 2012-12-03

Branch Locations

818 W Riverside #425, Spokane, WA 99201 • United States

Spokane, 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
Lpl Financial, Llc Spokane WA 12/2012 Present
Previous Registrations
  • 2011-01-03 → 2012-12-04
    Spokane, WA
    Portland, OR
  • 2006-07-11 → 2011-01-03
    Voya Financial Partners, Llc
    Spokane, WA
    Portland, OR
    Spokane, WA
Other Businesses

1. 9/10/2014 - PREMIER PARTNERS WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Start 10/01/2014 - 160 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-29
S65 Uniform Investment Adviser Law Examination 1996-01-06
S63 Uniform Securities Agent State Law Examination 1981-04-04
  • S66 Uniform Combined State Law Examination
    2006-06-29
  • S65 Uniform Investment Adviser Law Examination
    1996-01-06
  • S63 Uniform Securities Agent State Law Examination
    1981-04-04
Other Names
  • Fred S Cox

View on SEC IAPD

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