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Current Employers
Alders Financial Solutions

1701 Novato Blvd Ste. 304, Novato, CA 94947 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-07-02
  • CA RA
    APPROVED
    Since 2020-07-02

Branch Locations

1701 Novato Blvd Ste. 304, Novato, CA 94947 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-08-10
CA RA APPROVED 2006-01-26
  • TX RA
    APPROVED_RES
    Since 2009-08-10
  • CA RA
    APPROVED
    Since 2006-01-26

Branch Locations

1701 Novato Blvd, Suite 304, Novato, CA 94947 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Novato CA 01/2006 Present
Alders Financial Solutions Novato CA 07/2017 01/2019
Previous Registrations
  • 2019-12-10 → 2020-12-08
    Alders Financial Solutions
    Novato, CA
  • 2004-11-22 → 2006-01-30
    Mill Valley, CA
  • 2000-03-03 → 2004-12-07
    Osaic Fa, Inc.
    Mill Valley, CA
Other Businesses

1. 7/9/2008: NO BUSINESS NAME - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 12% - CARRY A LIFE AND HEALTH LICENSE. 2. 7/23/2013: Louis Batmale Financial Advisor - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 4/13/2021 - Alders Financial Solutions - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 01/01/2021 - 10 Hours Per Month During Securities Trading - I provide financial planning and consulting services through Alders Financial Solutions, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 10 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 advisory firm is separate from and independent of LPL Financial. 4. 12/13/2021 - Alders Financial Solutions - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/01/2021 - 168 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-16
  • S66 Uniform Combined State Law Examination
    2000-02-16

View on SEC IAPD

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