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Sean Desmond O'COnnor

LPl Financial LLC

Bellevue, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-07-27
  • WA RA
    APPROVED
    Since 2020-07-27

Branch Locations

11235 Se 6Th St, Ste 205 Bldg A, Bellevue, WA 98004-6481 • 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
The Bank Of Nova Scotia New York NY 11/2014 08/2018
Russell Investments Seattle WA 11/2018 06/2019
Lpl Financial Bellevue WA 07/2020 Present
Kms Financial Services, Inc. Bellevue WA 07/2019 07/2020
  • 11/2014 → 08/2018
    The Bank Of Nova Scotia
    New York, NY
  • 11/2018 → 06/2019
    Russell Investments
    Seattle, WA
  • 07/2020 → Present
    Lpl Financial
    Bellevue, WA
  • 07/2019 → 07/2020
    Kms Financial Services, Inc.
    Bellevue, WA
Other Businesses

1/2017 - DBA for LPL Business (entity for LPL business) - Stabler Wealth Management - Investment Related - 100% - Bellevue, WA 98005

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-20
  • S66 Uniform Combined State Law Examination
    2019-09-20
Other Names
  • Sean O'COnnor

View on SEC IAPD

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