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Current Employers
Allpoint Financial Group

765 Baywood Drive Suite 147, Petaluma, CA 94954 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-14
CA RA APPROVED 2021-03-03
  • TX RA
    APPROVED_RES
    Since 2026-07-14
  • CA RA
    APPROVED
    Since 2021-03-03

Branch Locations

765 Baywood Drive Suite 147, Petaluma, CA 94954 • United States

665 N. State Street Suite E, Ukiah, CA 95482 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Petaluma CA 04/2012 Present
Slr Asset Management, Llc Novato CA 08/2013 09/2021
Allpoint Financial Group, Llc Petaluma CA 01/2021 Present
  • 04/2012 → Present
    Lpl Financial Llc
    Petaluma, CA
  • 08/2013 → 09/2021
    Slr Asset Management, Llc
    Novato, CA
  • 01/2021 → Present
    Allpoint Financial Group, Llc
    Petaluma, CA
Previous Registrations
  • 2019-01-16 → 2023-12-09
    Slr Financial
    Santa Rosa, CA
  • 2013-08-08 → 2018-12-31
    Slr Financial
    Santa Rosa, CA
  • 2009-05-02 → 2012-04-17
    Chase Investment Services Corp.
    Santa Rosa, CA
    Ukiah, CA
    Cloverdale, CA
    Napa, CA
    Sonoma, CA
    Santa Rosa, CA
    Windsor, CA
    Santa Rosa, CA
    Cloverdale, CA
    Santa Rosa, CA
    Ukiah, CA
  • 2007-06-12 → 2009-05-02
    Wamu Investments, Inc.
    Napa, CA
    Sonoma, CA
    Santa Rosa, CA
    Cloverdale, CA
    Ukiah, CA
    Santa Rosa, CA
    Santa Rosa, CA
Other Businesses

1. 03/07/2012: Hey Buddy Software - NOT INV REL - At Reported Business Location(s) - Business Owner - Time Spent 5% - Create and manage software for moblie apps. It is a game for iphone apps. No raising of capital. 2. 5/17/2018 - Exclusive Insurance Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 05/15/2018 - 15 Hours Per Month/15 Hours During Securities Trading. 3. 10/29/2021 - AllPoint Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2021 - 100 Hours Per Month/100 Hours During Securities Trading. 4. 11/3/2021 - AllPoint Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/01/2021 - 100 Hours Per Month During Securities Trading - Time Spent 63% - I provide investment advisory services through AllPoint Financial Group, LLC, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 100 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. 04/08/2022 - AllPoint Tax Services - DBA: AllPoint Financial Group - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 01/01/2022 - 5 Hours Per Month/5 Hours During Securities Trading - Tax Prep.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-24
S63 Uniform Securities Agent State Law Examination 2003-04-04
  • S65 Uniform Investment Adviser Law Examination
    2007-01-24
  • S63 Uniform Securities Agent State Law Examination
    2003-04-04

View on SEC IAPD

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