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690 De Long Ave. Suite 300, Novato, CA 94945 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-07-12 |
| CA | RA | APPROVED | 2012-06-29 |
Branch Locations
350 Ignacio Blvd Suite 105, Novato, CA 94949 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Novato | CA | 06/2012 | Present |
| Alpha Wealth Management And Planning Llc | Novato | CA | 06/2012 | Present |
(1) 3/20/2013: REAL ESTATE RENTAL - REAL ESTATE PROPERTY. - TIME SPENT 1% - NOVATO, CA. (2) 8/30/2013: DBA ONLY - ALPHA WEALTH MANAGEMENT AND PLANNING, LLC - NOVATO, CA (3) 8/22/2017: Westland Financial Services, INC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/14/2012 - 5 Hours Per Month/2 Hours During Securities Trading. (4) 8/22/2017: The Webb Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2017 - 10 Hours Per Month/5 Hours During Securities Trading. (5) 8/30/2017: Alpha Wealth Management and Planning LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 06/29/2012 - Time Spent 100% - I provide investment advisory services through Alpha Wealth Management and Planning LLC., an independent investment advisor firm. I started this business activity on 8/29/2017. I expect to spend approximately 100 hours/month on this activity. Please see the advisory firms 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. (6) 02/23/2022 - JAJ Real Estate Properties - Investment Related - 350 Ignacio Blvd. Suite 105, Novato CA 94949 and Kings Beach CA - Real Estate Rental - Start Date: 01/01/2010 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-09-26 |
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