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402 West Broadway Suite 1100, San Diego, CA 92101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2026-01-16 |
| CA | RA | APPROVED | 2024-04-26 |
| TX | RA | APPROVED | 2024-04-26 |
Branch Locations
402 West Broadway Suite 1100, San Diego, CA 92101 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2025-09-03 |
| CA | RA | APPROVED | 2020-07-24 |
| TX | RA | APPROVED_RES | 2020-07-23 |
Branch Locations
100 International Dr, Ste 358, Portsmouth, NH 03801 • United States
402 W Broadway Ste 1100, San Diego, CA 92101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Ins. Co. | Milwaukee | WI | 08/1997 | 07/2020 |
| Northwestern Mutual Investment Services, Llc | San Diego | CA | 10/1997 | 07/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2014 | 07/2020 |
| Lpl Financial, Llc | San Diego | CA | 07/2020 | Present |
| Stirling Financial Group | San Diego | CA | 02/2024 | Present |
| Stirling Financial Group | San Diego | CA | 02/2020 | Present |
1.) Stirling Financial Group; Investment Related; San Diego, CA; RIA; Managing Member/CCO/IAR; Start Date 02/2020; Approximately 120 hours/month with all hours during trading hours 2.) LPL Financial, LLC; Investment Related; San Diego, CA; Broker-Dealer; Registered Representative; Start Date 07/2020; Approximately 40 hours/month with all hours during trading hours 3.) 8/1998 - Non-Variable Insurance - Thomas Dudley - Investment Related - San Diego, CA 92101 4.) 9/2/2020 - Pelorus Financial Group - Investment Related - 162 S. Rancho Santa Fe Rd. Ste F4, Encinitas, CA 92024 - Non-Variable Insurance - Agent - Started 06/29/2020 - 2 Hours Per Month/0 Hours During Securities Trading. 5) 07/23/2024 - Leeds Capital Group, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - Started: 4/16/2024 - 120 Hrs/Mo; 60 Hrs During Trading - I provide investment advisory services through Stirling Financial Group, an independent investment advisor firm. I started this business activity in 7/2024. 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 service6s 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 | 2006-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-17 |
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