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14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-05-15 |
| CO | RA | APPROVED | 2026-05-11 |
Branch Locations
14143 Denver Pkwy., Ste 450, Golden, CO 80401 • 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 |
|---|---|---|---|---|
| Wells Fargo Bank Na | Fort Worth | TX | 08/2013 | 04/2021 |
| Wells Fargo Advisors Llc | Fort Worth | TX | 08/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fort Worth | TX | 11/2016 | 04/2021 |
| Lpl Financial, Llc | Golden | TX | 03/2021 | Present |
| Western Wealth Management Llc | Golden | CO | 04/2021 | Present |
1. 05/10/2021 - WESTERN WEALTH/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ ALEDO, TX 2. 05/10/2021 - WESTERN WEALTH BENEFITS, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ ALEDO, TX 3. 05/10/2021 - WESTERN WEALTH ADVISORS, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ ALEDO, TX 4. 5/11/2021 - Western Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin. - Started 05/04/2021 - 173 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 04/2021 I expect to spend approximately 173 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. 5. 08/31/2023 - Castle Pines Wealth Management Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/21/2023 - 1 Hour Per Month/ During Trading 6. 12/15/2023 - Oakcrest Investments Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 10/31/2023 - 10 Hrs/Mo; 1 hr During Trading. 7. 12/15/2023 - Hertzenberg Financial LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/06/2023 - 10 Hrs/Mo; 1 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-28 |
| S65 | Uniform Investment Adviser Law Examination | 2008-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-11 |
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