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15 W 38Th St. #704, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-11-06 |
| CA | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | West Covina | CA | 04/2004 | 11/2017 |
| Lpl Financial Llc | West Covina | CA | 11/2017 | 11/2023 |
| Stirlingshire Bd Llc | New York | NY | 11/2023 | Present |
| Stirlingshire Ria Llc | New York | NY | 11/2023 | Present |
1) RetireOne Investment Services LLC Investment Related: YES ADDRESS: 222 SOUTH 1ST STREET, SUITE 600 Nature: Annuities LOUISVILLE, KY Position: Variable Annuities Sales NUMBER OF HOURS: 10 Hrs/Month during trading DESCRIPTION: Sell Variable annuities to clients 2) American Funds/Capital Group; YES; 12711 N. Meridian Street Carmel, IN 46032-9181; Asset Management Firm; Registered Representative; December 12, 2025; 5 hours per month; *hrs/month during trdae hours*; Opening and managing 529s without compensation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-14 |
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