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Fremont, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-04-14 |
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 |
|---|---|---|---|---|
| Jw Golden Gate Investment, Llc | San Jose | CA | 03/2020 | Present |
| Lpl Financial, Llc | San Jose | CA | 10/2007 | Present |
| Ihss | San Francisco | CA | 01/2015 | Present |
1. 02/06/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-software programmer - software programmer - Start Date 02/01/2018 - 40 Hours Per Month/0 During Securities Trading. 2. 4/30/2020 - JW Golden Gate Investment, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/09/2020 - 40 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through JW GOLDEN GATE INVESTMENT, LLC, an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 40 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. 3. 1/13/2021 - No Business Name - Not Investment Related - Palo Alto, CA - Outside/W-2 Employment - Start Date: 1/18/2021 - 80 Hours Per Month/1 Hour During Securities Trading - Personal Assistant. 4. 11/09/2023 - HEALTH ASSISTANT - Other - IHSS - Not Investment Related - San Francisco, CA - Start Date 10/15/2023 - 40 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-28 |
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