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254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-08-10 |
Branch Locations
254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Encinitas | CA | 06/2008 | Present |
| Independent Financial Partners | San Diego | CA | 01/2012 | 08/2018 |
| Golden State Wealth Management, Llc | Encinitas | CA | 08/2018 | Present |
1. 06/17/2008: OTHER-CLOTHING CO. - FAT MAMMAL - CO-OWNER OF CLOTHING COMPANY FORMED BY COLLEGEL ALUMNI. MINIMAL PRODUCT IS SOLD, IF ANY. - 1% OF TIME SPENT. 2. 06/17/2008: COMMUNITY, CIVIC AND CHARITABLE BOARD - ACT AS VICE PRESIDENT ON BOARD OF DIRECTORS FOR MORTGAGE ASSOCIATES. DUTIES LIMITED TO SIGNING OFF ON OFFICIAL MINUTES. - 1% OF TIME SPENT. 3. 10/16/2015 * Rohling Wealth Management * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 10/07/2015 * 10 HRS/MO DURING SECS TRDG HRS. 4. 8/21/2018 - Golden State Wealth Management, LLC - DBA: Golden State Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 08/10/2018 - 80 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through 360 Wealth Management, LLC, an independent investment advisor firm. I started this business activity in August 2018. I expect to spend approximately 80 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. 9/28/2018 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:09/24/2018 - 60 Hours Per Month/30 Hours During Trading. 6. 1/26/2021 - Golden State Insurance Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/02/2020 - 120 Hours Per Month/8 Hours During Securities Trading. 7. 11/26/2021 - Finley Property Corp - Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - Start Date: 11/09/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Mortgage Services.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2003-02-20 |
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