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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

JON CHRISTIAN SCHWARTZ

Advisor at LPL FINANCIAL LLC

SPOKANE, WA | SPOKANE VALLEY, WA | MEDICAL LAKE, WA

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Search this name across graphsid dfx:ria:19696eea-a757-deda-1aef-99e29269cc3b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 28, 1994 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 10, 1994
First registration: Oct 28, 1994
Dual registered: yes, broker-dealer
IAPD individual key: 2512795

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2009	n/a	yes	MEDICAL LAKE, WA\|SPOKANE, WA\|SPOKANE VALLEY, WA	Current employment
WSECU INVESTMENT MANAGEMENT	n/a	Jan 10, 2011	Dec 18, 2024	no	OLYMPIA, WA\|Spokane, WA\|Spokane Valley, WA\|Medical Lake, WA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 9, 2006	Dec 31, 2008	no	SPOKANE VALLEY, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Mar 2, 2005	no	SPOKANE, WA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 28, 1994	Jul 1, 2003	no	SPOKANE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WSECU INVESTMENT MANAGEMENT	n/a	Dec 18, 2024	n/a	n/a	Departure no registered destination	Departure
PRINCIPAL SECURITIES, INC.	LPL FINANCIAL LLC	Dec 31, 2008	Jul 10, 2009	191	Firm change	Other
WELLS FARGO ADVISORS	PRINCIPAL SECURITIES, INC.	Mar 2, 2005	Jun 9, 2006	464	Firm change after gap	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 10, 2009 to presentfactForm ADV
→ WSECU INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 10, 2011 to Dec 18, 2024factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 9, 2006 to Dec 31, 2008factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Mar 2, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 28, 1994 to Jul 1, 2003factForm ADV

Dated events

Occurred
Dec 18, 2024
Advisor departed, no destination yet
Jon Christian Schwartz no longer registered at Wsecu Investment Management; no later IA registration on IAPD
Form ADVobserved 5 days ago