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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-11-13
  • CA RA
    APPROVED
    Since 2023-11-13

Branch Locations

1247 7Th St Ste 301, Santa Monica, CA 90401-1644 • United States

Valley Wealth Strategies, Llc

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-25
  • CA RA
    APPROVED
    Since 2022-07-25

Branch Locations

404 W. Pine Street Suite 6, Lodi, CA 95240 • United States

1247 7Th Street #301, Santa Monica, CA 90401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Whittier CA 06/2014 11/2017
Lpl Financial Llc Whittier CA 11/2017 Present
Valley Wealth Strategies, Llc Whittier CA 07/2022 Present
Other Businesses

1. 10/23/2017 - AHAMAD MANOHORATHAT - Investment Related - AT Reported Business Location(s) - Start Date 11/1/2013 - 25 Hours Per Month/ 20 Hours During Trading 2. 10/23/2017 - ZUK FINANCIAL GROUP - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 5/20/2014 - 21 Hours Per Month/ During Trading 3. 11/29/2017 - CITADEL LAW OFFICES - Not Investment Related - 14625 MCGEE DR. WHITTIER CA 90604 - Other - Certified Paralegal - Start Date 7/1/2015 - 4 Hours Per Month / 4 Hours During Trading - Certified Paralegal under Citadel. 4. 6/11/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Notary Public - Start Date: 10/01/2014 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 08/08/2018 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/30/2014 - 10 Hours Per Month/ 2 Hours During Trading 6. 05/15/2024 - Manohorathat LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 04/17/2024 - 200 Hours Per Month/ 8 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-18
S63 Uniform Securities Agent State Law Examination 2005-01-07
  • S65 Uniform Investment Adviser Law Examination
    2022-07-18
  • S63 Uniform Securities Agent State Law Examination
    2005-01-07

View on SEC IAPD

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