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4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-02-19 |
Branch Locations
3221 Collinsworth Street, Fort Worth, TX 76107 • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Gus Bates Company | Ft. Worth | TX | 07/2007 | Present |
| Kestra Financial Services, Inc. | Austin | TX | 04/2016 | 02/2021 |
| Hub International Investment Services, Inc. | Fort Worth | TX | 07/2020 | Present |
| Lpl Financial, Llc | Fort Worth | TX | 02/2021 | Present |
| Global Retirement Partners, Llc | Fort Worth | TX | 02/2021 | Present |
1) 10/2020 - OTHER - ACCOMMODATION BROKER/DEALER - HUB INTERNATIONAL INVESTMENTS SERVICES - Investment Related - Fort Worth, TX 76107 2) 7/2020 - Outside/W-2 Employment - HUB INTERNATIONAL - Investment Related - Fort Worth, TX 76107 3) 2/24/2021 - GLOBAL RETIREMENT PARTNERS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 02/15/2021 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide investment advisory services through GLOBAL RETIREMENT PARTNERS, LLC, an independent investment advisor firm. I started this business activity in 02/2021. 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. 4) 3/24/2021 - HUB Retirement and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/19/2021 - 160 Hours Per Month During Securities Trading. 5) 3/30/2021 - HUB Retirement and Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 02/19/2021 - 160 Hours Per Month During Securities Trading. 6) 8/10/2021 - Global Retirement Partners - DBA: (Hybrid) HUB International Texas - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/05/2021 - 160 Hours Per Month During Securities Trading. 7) 8/17/2021 - HUB International Texas - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/05/2021 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-06 |
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