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ERIC W LORD
CRD#: 2961842
IA
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WELLS FARGO ADVISORSCRD#: 19616 1819 NW MARKET ST
SEATTLE, WA 98107
SEATTLE, WA 98107
0
Disclosures
27
Years of Experience
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State Registrations
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Alaska 2/22/2019
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Nevada 4/5/2016
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Arizona 10/11/2018
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New Jersey 9/8/2020
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California 1/3/2011
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New Mexico 1/16/2019
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Colorado 10/15/2019
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New York 8/20/2014
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District of Columbia 4/18/2024
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North Carolina 6/30/2017
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Florida 1/11/2019
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Oklahoma 8/17/2020
B
Georgia 8/23/2024
B
Oregon 1/3/2011
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Hawaii 8/23/2024
B
Rhode Island 1/3/2011
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Idaho 8/28/2015
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Tennessee 4/14/2021
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Illinois 4/23/2021
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Texas 9/15/2011
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Kansas 10/4/2023
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Texas 4/14/2021
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Maryland 4/18/2024
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Utah 4/7/2016
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Minnesota 11/5/2013
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Virginia 3/2/2023
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Missouri 4/18/2024
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Washington 1/3/2011
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Montana 11/11/2014
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Washington 1/3/2011
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Nebraska 9/10/2014
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Wyoming 10/5/2021
SRO Registrations
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Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2008 - 01/03/2011 | LYNNWOOD, WA | |
B | 05/09/2008 - 01/03/2011 | LYNNWOOD, WA | |
IA | 01/03/2006 - 05/12/2008 | AUBURN, WA | |
B | 01/03/2006 - 05/12/2008 | AUBURN, WA | |
IA | 12/27/2001 - 12/31/2005 | TACOMA, WA | |
B | 05/02/2001 - 12/31/2005 | CLEVELAND, OH | |
B | 11/21/1997 - 04/30/2001 | PURCHASE, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.