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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-04 |
| TX | RA | APPROVED_RES | 2023-04-03 |
Branch Locations
Scottsdale, AZ • United States
7500 E. Pinnacle Peak Rd Suite A-104, Scottsdale, AZ 85255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Peoria | AZ | 02/2013 | 10/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2016 |
| Planmember Securities Corporation | Carpinteria | CA | 10/2016 | 04/2023 |
| One2One Wealth Strategies | Scottsdale | AZ | 10/2016 | Present |
| Adam Carlat | Scottsdale | AZ | 01/2018 | Present |
| Lpl Financial Llc | Scottsdale | AZ | 04/2023 | Present |
1) 02/2023- ONE2ONE WEALTH STRATEGIES LLC- DBA for LPL Business (entity for LPL business)- inv. related - Scottsdale, AZ 2) 02/2023- Carlat Wealth Strategies, LLC- Business Entity For Tax/Investment Purposes Only - non-inv. related- Scottsdale, AZ- start date 10/7/2016- 0hrs 3) 02/2023- ONE2ONE REAL ESTATE HOLDINGS LLC- Real Estate Rental- part owner- inv. related- 7500 E. Pinnacle Peak Rd., Scottsdale, AZ 85255 Ste. A-104- start date 3/9/2021 - 0hrs 4) 4/3/2023- Wholehan Marketing- Non-Variable Insurance- Agent selling Life Insurance, Fixed Annuities - inv. related- Scottsdale, AZ- start date 1/1/2018- 4 Hours Per Month/0 Hours During Securities Trading - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-04-12 |
| S65 | Uniform Investment Adviser Law Examination | 2012-04-09 |
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