Individual Firm
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MICHAEL TODD ROSSMAN
CRD#: 6011944
IA
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LPL FINANCIAL LLCCRD#: 6413 9 Lake Bellevue Drive, Suite 210
Bellevue, WA 98005
Bellevue, WA 98005
0
Disclosures
11
Years of Experience
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State Registrations
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Alaska 10/26/2023
B
South Dakota 8/29/2024
B
Arizona 10/26/2023
B
Texas 10/26/2023
B
California 10/26/2023
IA
Texas 10/27/2023
B
Colorado 10/26/2023
B
Utah 10/26/2023
B
Florida 4/10/2024
B
Washington 10/26/2023
B
Georgia 10/26/2023
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Washington 10/26/2023
B
Oklahoma 10/26/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/26/2023
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Registered with this firm since 10/26/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/16/2018 - 10/30/2023 | BELLEVUE, WA | |
B | 07/16/2018 - 10/30/2023 | BELLEVUE, WA | |
IA | 04/16/2014 - 07/26/2018 | BELLEVUE, WA | |
B | 06/15/2013 - 07/26/2018 | BELLEVUE, WA |
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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.