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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-25 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
915 Highland Pointe Dr Ste 150, Roseville, CA 95678 • United States
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-25 |
| TX | RA | APPROVED | 2026-08-14 |
Branch Locations
915 Highland Point Dr Suite 150, Roseville, CA 95678 • United States
Clovis, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Clovis | CA | 02/2016 | 11/2018 |
| J.P. Morgan Chase Bank | Clovis | CA | 02/2016 | 11/2018 |
| Del Carlo Backyard Party Rentals, Llc | Fresno | CA | 07/2015 | 11/2018 |
| University Of Phoenix | Fresno | CA | 11/2013 | 11/2018 |
| Principal Life Insurance Company | Fresno | CA | 11/2018 | 11/2020 |
| Principal Securities Incorporated | Fresno | CA | 11/2018 | 11/2020 |
| Lpl Financial Llc | Roseville | CA | 07/2025 | 08/2026 |
| Del Carlo Financial | Clovis | CA | 11/2020 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2026 | Present |
1. NAME OF OTHER BUSINESS: DEL CARLO FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES, ADVISORY, AND INSURANCE SERVICES; 2. NAME OF OTHER BUSINESS: SIERRA RIDGE ADVISOR GROUP INVESTMENT RELATED: YES ADDRESS: ROSEVILLE, CA 95678 NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: : FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES, ADVISORY, AND INSURANCE SERVICES; 3. NAME OF OTHER BUSINESS: SIERRA RIDGE WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: ROSEVILLE, CA 95678 NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: : FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES, ADVISORY, AND INSURANCE SERVICES; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2019 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-08 |
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