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Current Employers
Integrated Wealth Concepts Llc

200 5Th Avenue 4Th Floor, Waltham, MA 02451 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-04
CA RA APPROVED 2019-04-10
  • TX RA
    APPROVED
    Since 2021-02-04
  • CA RA
    APPROVED
    Since 2019-04-10

Branch Locations

2416 W Main Street, Visalia, CA 93291 • 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
Pepito Real Estate, Llc Visalia CA 06/2013 Present
Pepita Real Estate, Llc. Visalia CA 02/2012 Present
Rc Kenmore Ave, Llc. Visalia CA 09/2013 Present
Lpl Financial, Llc Visalia CA 02/2014 Present
Independent Financial Partners Visalia CA 02/2014 04/2019
Integrated Wealth Concepts, Llc Visalia CA 04/2019 Present
Previous Registrations
  • 2014-02-20 → 2019-04-16
    Visalia, CA
  • 2006-02-10 → 2014-02-27
    Waddell & Reed
    Visalia, CA
    Irvine, CA
    Concord, CA
    Concord, CA
    Visalia, CA
  • 2006-02-06 → 2006-02-15
    Visalia, CA
    Visalia, CA
  • 2003-09-26 → 2006-02-09
    Waddell & Reed
    Fresno, CA
Other Businesses

1.2/19/2014:HERMES WEALTH STRATEGIES, INC--INV REL--AtReptBusLoc(s)--DBAfor LPL Bus.(entity for LPL bus.)--TimeSpent80%. 2.4/21/2015:HERMES WEALTH STRATEGIES-INV REL- AtReptBusLoc(s)-NON-VARIABLE INSURANCE-START2/19/2014-10 HR/MO NONE DURING SECS TRDG HRS -INSURANCE AGENT. 3.5/19/2015:INSURANCE AGENCY-INV REL- AtReptBusLoc(s)- START9/1/2015-2 HR/MO NONE DURING SECS TRDG HRS 4.6/11/2015:PEPITA REAL ESTATE, LLC--INV REL--VISALIA CA --REAL ESTATE RENTAL--START1/1/2011--5 HR/MO NONE DURING SECS TRDG HRS 5.6/11/2015:PEPITO REAL ESTATE, LLC--INV REL--VISALIA CA --REAL ESTATE RENTAL--START6/1/2015--5 HR/MO NONE DURING SECS TRDG HRS 6.4/26/2019:Hermes Wealth Strategies--InvestRel--Visalia, CA--Real Estate Rental--Start5/1/2019--0 Hrs/mo. 7.5/8/2019:Integrated Financial Partners--InvestRel--AtReptBusLoc(s)--DBAfor LPL Bus.(entity for LPL bus.)--Start4/12/2019--160Hrs/Month;40HrsDuringTrading. 8.5/14/2019:Integrated Wealth Concepts, LLC--InvestRel--AtReptBusLoc(s)--RIA/Hybrid-IAR-Start4/12/2019--160 Hrs/mo;40HrsDuringTrading--I provide investment advisory services through Integrated Wealth Concepts, LLC, an independent investment advisor firm. I started this business activity in 4/2019. I expect to spend approximately 160 Hrs per Mth on this activity. Please see the advisory firm's Form ADV... 9.5/29/2019:Pepito Real Estate, LP--InvestRel--Visalia, CA--Real Estate Rental--Start6/14/2019--10 Hrs Mo/0 Hrs Dur Sec Trading--Re- 10.6/27/2019-Hermes Wealth Strategies-IAR-InvestRel--AtReptBusLoc(s)--RIA/DBA-160Hrs/Mon;160 hrs dur trading. 11.12/4/2019: Pepito Real Estate, LP--InvestRel--Visalia CA & Parcel of land --Other-Real Estate Purchase--Start6/15/2019--0Hrs/Mth. 12.1/13/2020:2344 Seventeen Street, LLC--InvestRel--Visalia CA --RealEstateRental--Start11/1/2019--5Hrs/Mth;0HrsDurTrading. 13.1/13/2020:RC S. Kenmore Ave, LLC--InvestRel--Fresno, CA--Real Estate Rental--Start11/26/2013--5Hrs/Mth;0HrsDurTrading. 14.5/1/2020:Apollo Accountancy Solutions--InvestRel--2401 N Linwood, Lot R, Visalia CA 93291--Tax Prep/Accounting/CPA--Shareholder&BusinessOperationMgr--Started9/1/2018--20 Hrs/Mth;0HrsDurTrading. 15.1/12/2021:Pepita Real Estate, LP--InvestRel--1836 W Dorothea Ave Visalia CA 93277; Porterville CA 93257; Tulare CA 93274; Visalia CA 93277, 93291 & 93292--RealEstateRental--Started11/24/2020--20Hrs/Mth; 0HrsDurTrading 16.5/3/2021:Integrated Partners--InvestRel--AtReptBusLoc(s)--DBAfor LPL Bus.(entity for LPL bus.)--Started5/1/2021--1Hr/MonDurTrading. 17.5/5/2021:Integrated Wealth Concepts--DBA:(Hybrid)Integrated Partners--InvestRel--AtReptBusLoc(s)--RIA/DBA--Started5/1/2021--1Hr/MonDurTrading. 18.12/7/2021--South Valley United Soccer Club--NotInvRel--5505 Riggins Ave Visalia CA 93291--Outside/W-2 Employment--Coach--StDate:1/1/2022--30 HrsPerMth/0 HrsDurSecTrad. 19.01/13/2025-Hermes Wealth Strategies, Inc.-DBA for LPL Business (entity for LPL business)- INV REL- At Rep Bus Loc(s)- Start Date 2/18/14- 100 hrs a month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-25
  • S66 Uniform Combined State Law Examination
    2003-09-25

View on SEC IAPD

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