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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2022-02-23
CA RA APPROVED 2012-07-30
  • NV RA
    APPROVED
    Since 2022-02-23
  • CA RA
    APPROVED
    Since 2012-07-30

Branch Locations

Gardnerville, NV • United States

99 Almaden Blvd #925, San Jose, CA 95113 • United States

1625 State Route 88 Ste 202, Minden, NV 89423 • 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 San Jose CA 06/2012 Present
Sequoia Wealth Advisors & Investment Management, Inc San Jose CA 11/2016 Present
  • 06/2012 → Present
    San Jose, CA
  • 11/2016 → Present
    Sequoia Wealth Advisors & Investment Management, Inc
    San Jose, CA
Previous Registrations
  • 2016-11-28 → 2022-09-17
    Sequoia Wealth Advisors & Investment Management, Inc.
    San Jose, CA
Other Businesses

1. 06/11/2012 - SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT/ DBA ONLY/ SAN JOSE, CA. 2. 1/25/2023 - Metatron Holdings, LLC - Investment Related - Gardnerville, NV 89410 - Real Estate Rental - Start Date - 12/05/2022 - 2 Hours Per Month/2 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-19
  • S66 Uniform Combined State Law Examination
    2012-07-19

View on SEC IAPD

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