Best Investors
Account
Sign in
Best Investors
Account
Sign in
690 De Long Ave. Suite 300, Novato, CA 94945 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2023-11-16 |
Branch Locations
Corte Madera, CA • United States
690 De Long Ave. Suite 300, Novato, CA 94945 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Corte Madera | CA | 03/2010 | Present |
| Alpa Wealth Management & Planning Llc | Novato | CA | 11/2023 | Present |
1. 4/9/2013: NON-VARIABLE INSURANCE - PROVIDE EXTRA BENEFITS TO MY CLIENTS. FOCUSING ON LONG-TERM CARE, LIFE, AND DISABILITY. - TIME SPENT 10% - CORTE MADERA, CA. 2. 04/22/2022 - Carlen Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/28/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 3. 11/28/2023: ALPHA WEALTH MANAGEMENT AND PLANNING LLC; At Reported Business Location(s); Registered Investment Advisor DBA; Inv. related; start date 11/1/2023; 160hrs/mo.; 100 hrs during trading. 4. 11/28/2023: ALPHA WEALTH MANAGEMENT AND PLANNING LLC; DBA - Alpha Wealth Management and Planning; At Reported Business Location(s); Registered Investment Advisor Hybrid; Inv. related; start date 11/1/2023; 160hrs/mo.; 100hrs during trading; I provide investment advisory services through Alpha Wealth Management and Planning, an independent investment advisor firm. I started this business activity in 11/2023. I expect to spend approximately 160 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-22 |
Reach out to this advisor