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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-14 |
| TX | RA | APPROVED | 2026-08-14 |
Branch Locations
915 Highland Pointe Dr Suite 150, Roseville, CA 95678 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
915 Highland Pointe Dr Ste 150, Roseville, CA 95678 • United States
3626 Fair Oaks Blvd, Sacramento, CA 95864 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Woodland | CA | 03/2013 | 10/2016 |
| Wells Fargo Advisors Llc | Woodland | CA | 03/2013 | 10/2016 |
| Wells Fargo Clearing Services, Llc | Roseville | CA | 03/2017 | 04/2021 |
| First Citizens Bank | Roseville | CA | 10/2016 | 03/2017 |
| U.S. Bancorp Investments, Inc. | Sacramento | CA | 04/2021 | 09/2021 |
| Lpl Financial Llc | Roseville | CA | 07/2025 | 08/2026 |
| Discernment Financial Inc. | Roseville | CA | 07/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2026 | Present |
| Next Financial Group, Inc. | Sacramento | CA | 09/2021 | 08/2026 |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2022 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: SIERRA RIDGE WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2018 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: SIERRA RIDGE ADVISOR GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: DISCERNMENT FINANCIAL INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS:FINANCIAL SERVICES START DATE: 07/2025 POSITION/TITLE/RELATIONSHIP: CEO APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: PHILIP KONG. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS:FIXED INSURANCE SERVICES START DATE: 09/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-28 |
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