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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-29 |
Branch Locations
1917 Palomar Oaks Way Ste 150, Carlsbad, CA 92008 • United States
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Carlsbad | CA | 01/2012 | 05/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2019 |
| Kestra Investment Services | Carlsbad | CA | 03/2019 | 03/2019 |
| Kestra Private Wealth Services | Carlsbad | CA | 03/2019 | 03/2019 |
| Kestra Investment Services | Carlsbad | CA | 05/2019 | 06/2026 |
| Kestra Private Wealth Services | Carlsbad | CA | 05/2019 | 06/2026 |
| Lpl Financial | Carlsbad | CA | 06/2026 | Present |
1. 06/2026 - Tailwind Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Related – 40 Hour(s)/Month – 35 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 6/29/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-20 |
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