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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-25 |
| CA | RA | APPROVED | 2025-02-18 |
Branch Locations
2222 Second Street Suite 14, Livermore, CA 94550 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Ramon | CA | 08/2011 | 02/2025 |
| 7 Streets Financial, Llc | San Ramon | CA | 06/2016 | Present |
| Commonwealth Financial Network | San Diego | CA | 02/2025 | Present |
1. Fixed insurance sales; as of 1/01/2025; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, 7 Streets Financial, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 2011; 0% time spent during business hours; Conducted at branch; Investment related. 3. Owner, Joe Duca Financial Services Inc; a private entity established for tax & liability purposes; as of 2011; 5% time spent during business hours; Conducted at branch; Investment related. 4. Co-owner, Ketchikan Adventure Vue, LLC; private entity established for cruise excursion, tourism, and real estate ownership in Ketchikan, AK; as of 10/2021; 5% of time spent during business hours; Not conducted at branch location; Investment related. 5. Co-owner, PPP Charters, LLC; private entity established as a charter fishing company, Located in in Ketchikan, AK; as of 6/01/2024; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 6. Co-owner, Alaska Port Innovations, LLC; private entity established as a tour operator, port developer, and real estate owner located at in, Ketchikan, AK; as of 12/2024; 1% of time spent during business hours; Not conducted at branch location; Investment related 7. Co-owner, Newtown Wharf, LLC; an entity created for the purpose of owning & leasing real estate located at 1205 Tongass Ave & 1101 Tongass Ave, Ketchikan, AK 99901, as of 02/04/2025; 3% time spent during business hours; Not conducted at branch; Investment related. 8. Co-owner, Newtown Mercantile, LLC; entity created for the purpose of a retail gift shop; Located in Ketchikan, AK, as of 02/04/2025; 3% time spent during business hours; Not conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-10 |
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