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14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-04-16 |
Branch Locations
5251 Dtc Pkwy Ste 1045, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Investors Dist Co | Centennial | CO | 02/2016 | 03/2017 |
| Brighthouse Securities, Llc | San Juan Capistrano | CA | 03/2017 | 10/2023 |
| Lpl Financial Llc | Littleton | CO | 10/2023 | Present |
| Traction Financial Partners | Denver | CO | 10/2023 | 04/2024 |
| Western Wealth Management, Llc | Golden | CO | 04/2016 | Present |
1. 10/3/2023: Timeshare Rental; Steamboat Springs, CO; Real Estate Rental; Owner; Inv. related; start date 9/1/2021. 2. 11/15/2023: Samwise Investments LLC; At reported business location(s); Business Entity For Tax/Investment Purposes Only; Inv. related; start date 9/20/2023; 0hrs/mo. during trading. 3. 05/07/2024 - Quo Vadis Financial Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/03/2024 - 65 Hours Per Month/ 3 Hours During Trading 4. 05/14/2024 - Western Wealth Management, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - Started: 4/16/2024 - 160 Hrs/mo; 8 Hrs During Trading - I provide investment advisory services through Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 5/2024. I expect to spend approximately 160 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. 05/28/2024 - Western Wealth Management LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/16/2024 - 40 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 5/2024. 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. 6. 12/09/2024 - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 12/04/2024 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-09 |
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