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DAVID CARTER OWEN
CRD#: 4989824
IA
B
SCSCRD#: 310849 10900 NE 8TH STREET
15TH FLOOR - SUITE 1550
BELLEVUE, WA 98004
15TH FLOOR - SUITE 1550
BELLEVUE, WA 98004
LPL FINANCIAL LLCCRD#: 6413 10900 NE 8TH ST.15TH FL #1550
BELLEVUE, WA 98004
BELLEVUE, WA 98004
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Idaho 10/12/2022
IA
Texas 3/1/2021
B
Montana 1/4/2022
IA
Texas 10/10/2022
B
Oregon 10/12/2022
B
Washington 2/5/2013
B
Texas 1/26/2021
IA
Washington 2/5/2013
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 12/2/2020
IA
Registered with this firm since 2/5/2013
B
Registered with this firm since 2/5/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/07/2010 - 02/06/2013 | SEATTLE, WA | |
B | 01/22/2009 - 02/06/2013 | SEATTLE, WA | |
B | 07/18/2005 - 03/06/2007 | ROSELAND, NJ |
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B
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.