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Current Employers
Stratos Wealth Partners, Ltd

3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2016-03-09
TX RA APPROVED 2012-01-12
CA RA APPROVED 2011-12-16
  • LA RA
    APPROVED
    Since 2016-03-09
  • TX RA
    APPROVED
    Since 2012-01-12
  • CA RA
    APPROVED
    Since 2011-12-16

Branch Locations

2800 28Th St, Suite #306, Santa Monica, CA 90405 • United States

12348 High Bluff Dr, #240, San Diego, CA 92130 • United States

2040 Main Street Suite 175, Irvine, CA 92614 • United States

9800 Wilshire Blvd, Beverly Hills, CA 90212 • 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
Lpl Financial, Llc Irvine CA 12/2011 Present
Stratos Wealth Partners, Ltd. Santa Monica CA 12/2011 Present
Previous Registrations
  • 2010-03-12 → 2011-12-16
    Chase Investment Services Corp.
    Laguna Niguel, CA
    Laguna Hills, CA
  • 2007-10-29 → 2010-03-08
    Mission Viejo, CA
    Fort Mill, SC
Other Businesses

1. 11/29/2011 - Stratos Wealth Partners, Ltd. - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 11/29/2011 - Stratos Wealth Partners, Ltd. - INV REL -Non-Variable Insurance - Sell fixed insurance products including fixed annuities, term, universal, whole life, long term care, disabilisty, health and dental insurance. 3. 12/15/2011 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 4. 12/19/2011 - Stratos Wealth Partners, Ltd. - INV REL - Registered Investment Advisor - 100% TIME SPENT - Stratos Wealth Partners, Ltd. is the RIA through which I will offer fee based financial planning and investment advisory. 5. 1/22/2015 - Stratos Wealth Partners, Ltd. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/01/2013 - 2 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through Stratos Wealth Partners, Ltd., an independent investment advisor firm. I started this business activity in 1/2013. I expect to spend approximately 2 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. 03/19/2015 - Stratos California - INV REL -At reported business(es) - DBA for LPL Business (entity for LPL business) - START 03/10/2015 - This is just a name we would like to use on our website for our office. 7. 03/02/2016 - NJH Enterprises, Inc. - INV REL - Business Entity For Tax/Investment Purposes Only - START 01/01/2012 - 40 HOURS PER MONTH, 20 DURING TRADING - LPL revenue and Stratos Wealth Partners RIA Revenue. 8. 11/15/2017 - BGA Insurance Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/01/2012 - 1 Hour Per Month/0 Hours During Securities Trading. 9. 6/29/2020 - ANDERSON FINANCIAL MANAGEMENT GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/10/2020 - Hours Per Month During Securities Trading. 10. 12/30/2021 - Dixon Wells Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/27/2021 - 2 Hours Per Month/0 Hours During Securities Trading. 11. 12/15/2022 - Stratos CA - Not Investment Related - 12348 High Bluff Dr. Suite 240, San Diego CA 92130 - Business Entity For Tax/Investment Purposes Only - Start Date - 11/16/2022 - 20 Hours Per Month/5 Hours During Securities Trading. 12. 01/04/2023 - Investment Related - Costa Mesa, CA 92627 - Real Estate Rental - Start Date: 11/01/2022- 2 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-11
  • S66 Uniform Combined State Law Examination
    2007-09-11
Designations

View on SEC IAPD

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