Barak Judah Tanzer

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-08-22

TX RA
APPROVED_RES

Since 2018-08-22

Branch Locations

Scottsdale, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Kms Financial Services, Inc.	Seattle	WA	03/1998	08/2018
B. Tanzer Investments, Llc	Portland	OR	03/2004	Present
Lpl Financial Llc	Scottsdale	AZ	08/2018	Present

03/1998 → 08/2018

Kms Financial Services, Inc.

Seattle, WA
03/2004 → Present

B. Tanzer Investments, Llc

Portland, OR
08/2018 → Present

Lpl Financial Llc

Scottsdale, AZ

Previous Registrations

2003-06-11 → 2018-08-21

Kms Financial Services, Inc.

Portland, OR

Portland, OR

Scottsdale, AZ

Portland, OR

Other Businesses

1. 8/27/2018 - B Tanzer Investments, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:01/01/2004 - 120 Hours Per Month/6 Hours During Trading - Time Spent: 95%. 2. 8/27/2018 - Life insurance and variable annuities - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:03/01/1998 - 1 Hours Per Month/0 Hours During Trading - Time Spent: 1%.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-04-02
S63	Uniform Securities Agent State Law Examination	1988-09-23

S66 Uniform Combined State Law Examination

2003-04-02
S63 Uniform Securities Agent State Law Examination

1988-09-23

Other Names

Barek Judah Tanzer

View on SEC IAPD