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1500 Grant Ave Ste 238, Novato, CA 94945 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western International Securities, Inc. | Pasadena | CA | 06/2016 | 06/2025 |
| Ketron Financial Llc | Novato | CA | 09/2015 | Present |
| Ketron Financial Llc | Novato | CA | 03/2024 | Present |
| Lpl Financial Llc | Novato | CA | 06/2025 | Present |
1. 06/05/2025- Ketron Financial LLC- Registered Investment Advisor Hybrid- INV Related- At Reported Business Location(s)- Start date 05/06/2024- 180 Hours Per Month- 180 Hours During Trading- I provide investment advisory services to Ketron Financial, LLC, an independent investment advisor firm. I started this business activity in 6/2025. I expect to spend approximately 180 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. 2. Courtenay Wise- Notary- INV Related- At Reported Business Location(s)- Start date 10/01/2015- 4 Hours Per Month 3. Courtenay Wise-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 11/15/2016- 60 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-21 |
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