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Current Employers
Proactive Wealth Strategies, Llc

533 Johnson Ferry Road Bldg. C Suite 100, Marietta, GA 30068 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-05-05
  • GA RA
    APPROVED
    Since 2022-05-05

Branch Locations

533 Johnson Ferry Road Bldg. C Suite 100, Marietta, GA 30068 • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-02-27
GA RA APPROVED 2018-02-14
NC RA APPROVED 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2018-02-27
  • GA RA
    APPROVED
    Since 2018-02-14
  • NC RA
    APPROVED
    Since 2018-02-14

Branch Locations

533 Johnson Ferry Rd Bldg C-100, Marietta, GA 30068 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Invest Financial Corporation Tampa FL 07/2011 02/2018
Lpl Financial Llc Marietta GA 02/2018 Present
Proactive Wealth Strategies, Llc Marietta GA 07/2011 Present
Previous Registrations
  • 2011-07-22 → 2018-02-14
    Invest Financial Corporation
    Marietta, GA
    Appleton, WI
  • 2007-07-06 → 2011-08-08
    Vining Financial
    Marietta, GA
Other Businesses

1. 02/14/2018 - Proactive Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/26/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/14/2018 - 4 Hours Per Month During Securities Trading. 3. 5/17/2022 - Proactive Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 04/01/2022 - 100 Hours Per Month/ 95 Hours During Securities Trading - Time Spent 63% - I provide investment advisory services through Proactive Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 100 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-03
  • S66 Uniform Combined State Law Examination
    2007-01-03
Designations

View on SEC IAPD

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