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14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2016-06-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Littleton | CO | 06/2002 | Present |
| Western Wealth Management, Llc | Greenwood Village | CO | 06/2016 | Present |
1. 6/25/2002: No Business Name - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION. 2. 2/10/2006: No Business Name - MUSICIAN - NOT INV REL - AT REPORTED BUSINESS LOCATION - ACTIVITY: MUSICIAN - 2% TIME SPENT. 3. 10/17/2011: NO BUSINESS NAME - DBA for LPL Business (entity for LPL business) - John Mumford - INV REL - AT REPORTED BUSINESS LOCATION. 4. 06/20/2016 * Western Wealth Management, LLC * Registered Investment Advisor DBA * Western Wealth Management, LLC * INV REL * 6000 Greenwood Plaza Bld., Suite 100, Greenwood Village, CO 80111 * START 06/16/2016 * 160 HRS/MO DURING SECS TRDG HRS. 5. 06/20/2016 * Western Wealth Management LLC * Registered Investment Advisor Hybrid * INV REL * 6000 Greenwood Plaza Bld., Suite 100, Greenwood Village, CO 80111 * START 06/16/2016 * 160 HRS/MO DURING SECS TRDG HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-06 |
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