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765 Baywood Drive Suite 147, Petaluma, CA 94954 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-14 |
| CA | RA | APPROVED | 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
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 |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-04 |
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