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14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2021-11-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Carlsbad | CA | 07/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Carlsbad | CA | 11/2016 | 11/2021 |
| Lpl Financial Llc | Washington | UT | 11/2021 | Present |
| Western Wealth Management Llc | Washington | UT | 11/2021 | Present |
1) 11/2021- Main Gate Asset Management LLC- DBA for LPL Business (entity for LPL business)- inv. related- WASHINGTON UT 2) 11/2021- 128 Palo Verdes, LLL - Real Estate Rental- co-owner- inv. related- Washington, UT- 1hr/mth 3) 8/2017- Washington City Planning Commission- Non-Profit Board Member/Commissioner- non-inv. related- Washington, UT- 5hrs/mth 4) 11/23/2021 - WESTERN WEALTH MANAGEMENT LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/19/2021 - 200 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Western Wealth Management Group, LLC, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 200 hours per month on this activity. Please see the advisory 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-06-06 |
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