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Current Employers
Alta Wealth Advisors Llc

300 Tradecenter, Suite 5700, Woburn, MA 01801 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-07
MA RA APPROVED 2018-04-30
  • TX RA
    APPROVED_RES
    Since 2020-02-07
  • MA RA
    APPROVED
    Since 2018-04-30

Branch Locations

300 Tradecenter, Suite 5700, Woburn, MA 01801 • 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
Lpl Financial Llc Woburn MA 05/2013 Present
Pinnacle Private Wealth, Llc Woburn MA 05/2017 04/2018
Alta Wealth Advisors Llc Woburn MA 03/2018 Present
Previous Registrations
  • 2017-06-01 → 2018-05-23
    Pinnacle Private Wealth, Llc
    Burlington, MA
  • 2012-09-26 → 2013-05-15
    Chelmsford, MA
    Nashua, NH
    Billerica, MA
    Lowell, MA
    Wakefield, MA
    Merrimack, NH
    Westford, MA
    Lowell, MA
    Tewksbury, MA
  • 2011-05-05 → 2012-09-19
    Lowell, MA
    Chelmsford, MA
    Topsfield, MA
    Lynnfield, MA
    Topsfield, MA
    Peabody, MA
    Natick, MA
    Newton, MA
    West Newton, MA
    Middleton, MA
    Lynnfield, MA
    Nashua, NH
    Dracut, MA
    Billerica, MA
    Tewksbury, MA
    Middleton, MA
    Natick, MA
Other Businesses

1. 02/20/2014 - Parks Financial, Inc. - INV REL - Business Entity For Tax/Investment Purposes Only - for accounting purposes only. 2. 3/21/2017 - First American Insurance Underwriters - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 03/20/2017 - 2 Hours Per Month During Securities Trading. 3. 5/3/2018 - Alta Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 04/20/2018 - 80 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Alta Wealth Advisors LLC, an independent investment advisor firm. I started this business activity in 04/20/2018. I expect to spend approximately 80 hours per month on this activity. Please see the Form ADV of the advisory firm 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. 4. 11/2/2018 - Alta Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/27/2018 - 30 Hours Per Month/30 Hours During Securities Trading. 5. 11/19/2018 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 11/05/2018 - 5 Hours Per Month/5 Hours During Securities Trading - Life and fixed annuity business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-05-02
S63 Uniform Securities Agent State Law Examination 2007-09-29
  • S65 Uniform Investment Adviser Law Examination
    2011-05-02
  • S63 Uniform Securities Agent State Law Examination
    2007-09-29

View on SEC IAPD

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