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348 S Waverly Rd Suite 100, Holland, MI 49423 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-09-02 |
Branch Locations
348 S Waverly Rd Suite 100, Holland, MI 49423 • United States
5701 Lonetree Blvd. #219, Rocklin, CA 95765 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Securities, Inc. | Camarillo | CA | 01/2016 | 08/2021 |
| Mutual Advisors, Llc | Casper | WY | 01/2016 | 08/2021 |
| Advisory Alpha, Llc Dba 401 Financial | Rocklin | CA | 09/2021 | Present |
| Triad Advisors, Llc | Norcross | GA | 03/2022 | 08/2024 |
| Osaic Wealth, Inc. | Holland | MI | 08/2024 | 10/2024 |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2024 | Present |
1.Advisory Alpha DBA 401 Financial. Investment related. At the registered location. RIA. IAR. IAR.9/2021; 120.6.5. Advisor, administrative & operational support. Present 2. Notary. Not investment related. At the registered location. Notarial service. Notary. 12/2011, 1.1. Provide clients notarial services. Present 3. 401 Wealth Management, inc.; Investment-related; 5029 4th Street Rocklin, CA 95677; Support Services Organization; Owner; Owner; 04/08/2025; approx 40 hours/month; approx 40 hours/month; Provide support services for investment related activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-28 |
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