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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2019-06-21 |
| CO | RA | APPROVED | 2011-11-21 |
Branch Locations
14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Cheyenne | WY | 11/2011 | Present |
| Western Wealth Management, Llc | Cheyenne | WY | 01/2014 | Present |
(1) 11/21/2011: OTHER - ROTNER BUCKING BULLS, LLC - BUCKING-BRED CATTLE BREEDING PROGRAM. - TIME SPENT 1%. (2) 11/05/2013 - DBA ONLY - WESTERN WEALTH MANAGEMENT, LLC - GOLDEN, CO (3) 01/30/2014 - WESTERN WEALTH MANAGEMENT, LLC - REGISTERED INVESTMENT ADVISOR - WESTERN WEALTH MANAGEMENT, LLC - ADMINISTRATIVE ASSISTANT ONLY - TIME SPENT 15% - GOLDEN, CO (4) 07/10/2014 - G&W WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - G&W WEALTH MANAGEMENT IS THE OFFICE OF LPL FINANCIAL ADVISOR BRIAN D. WILLIAMS AND I WILL BE HIS PART-TIME ADMINISTRATIVE ASSISTANT. - TIME SPENT 20 HRS PER MO. - GREENWOOD VILLAGE, CO (5) 10/23/2017 - Colorado Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/24/2016 - 40 Hours Per Month During Securities Trading. (6) 10/24/2017 - The Investment Center Located at Credit Union of Colorado - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/01/2016 - 8 Hours Per Month During Securities Trading. (7) 4/4/2023 - Western Wealth Management, LLC - DBA: Forward Financial Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date - 03/16/2023 - 6 Hours Per Month/3 Hours During Securities Trading - I provide administrative support to Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 4/2023. I expect to spend approximately 6 hours per month on this activity. Please see the advisor firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-25 |
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