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3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2016-03-08 |
| IA | RA | APPROVED | 2014-08-25 |
| TX | RA | APPROVED | 2014-08-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Wealth Financial Group, Llp | Clinton | IA | 09/2012 | Present |
| Lpl Financial Llc | Clinton | IA | 08/2014 | Present |
| Stratos Wealth Partners, Ltd | Clinton | IA | 08/2014 | Present |
1. 08/25/2014 - Stratos Wealth Partners - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 08/25/2014 - First Wealth Financial Group - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 09/02/2014 - Stratos Wealth Partners - DBA: (Hybrid) First Wealth Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - DBA for RIA 4. 9/2/2014 - Stratos Wealth Partners, LTD - DBA: (Hybrid) Stratos Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 08/2014 - Time Spent 25% - I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 8/2014. I expect to spend approximately 40 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. 10/20/2015: First Wealth Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/12/2015 - 5 Hours Per Month During Securities Trading. 6. 03/09/2026 - First Wealth Financial Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/03/2026 - 40 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 2003-10-04 |
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