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3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | Cleveland | OH | 09/2015 | 08/2017 |
| Metro Cnc Services | Oakwood Village | OH | 09/2017 | 11/2018 |
| Jp Morgan Chase Bank | Willoughby | OH | 09/2017 | 10/2019 |
| Jp Morgan Securities Llc | Willoughby | OH | 09/2017 | 10/2019 |
| Axa Advisors, Llc | Cleveland | OH | 06/2015 | 08/2017 |
| Morgan Stanley | Pepper Pike | OH | 10/2019 | 06/2020 |
| Lpl Financial Llc | Strongsville | OH | 06/2020 | Present |
| Stratos Wealth Partners, Ltd | Strongsville | OH | 06/2020 | Present |
| Stratos Investment Management | Beachwood | OH | 06/2020 | 06/2026 |
| Smooth 401K Financial | Strongsville | OH | 07/2026 | Present |
1.06/08/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Stratos Wealth Partners; Investment Related; at Reported Business Location(s); Start Date 06/08/2020; 160hrs/mth; 8hrs during trading 2.06/09/2020; (Hybrid) Stratos Wealth Partners, LTD / Stratos Wealth Partners, LTD; Registered Investment Advisor Hybrid; Investment Related; at Reported Business Location(s); Start Date 06/08/2020; 160hrs/mth; 8hrs during trading; I provide administrative support to Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 6/2020. I expect to spend approximately 160 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. 3.07/13/2020; Fundamentum, LLC; Registered Investment Advisor; Investment Related; at Reported Business Location(s); Start Date 06/08/2020; 20hrs/mth; 20hrs during trading; I provide administrative support to Fundamentum, LLC, an independent investment advisor firm. I started this business activity in 6/2020. I expect to spend approximately 20 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. 4.07/24/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Smooth Financial; Investment Related; at Reported Business Location(s); Start Date 07/13/2026; 160hrs/mth; 1hrs during trading 5.07/28/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Smooth401k; Investment Related; at Reported Business Location(s); Start Date 07/13/2026; 160hrs/mth; 1hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-29 |
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