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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-10-05 |
Branch Locations
14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States
Windsor, CO • United States
14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-11-07 |
Branch Locations
14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Shawnee Mission | KS | 01/2011 | 08/2021 |
| Lpl Financial, Llc | Golden | CO | 10/2021 | Present |
| Western Wealth Management, Llc | Golden | CO | 10/2021 | Present |
1. 11/2/2021 - Western Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/25/2021 - 160 Hours Per Month/6 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 11/2021. 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. 2. 02/01/2022 - Western Wealth Management, LLC - DBA: Western Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 10/11/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 1/2022. 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 3. 10/04/2022 - Western Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - CCO - Start Date - 09/28/2022 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services and am the CCO of Western Wealth Management, LLC an independent investment advisor firm. I started this business activity in 10/2021. 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, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 4. 10/04/2022 - Western Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - CCO - Start Date: 09/28/2022 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services and am the CCO of Western Wealth Management, LLC an independent investment advisor firm. I started this business activity in 10/2021. 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, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 5. 12/20/2024- Western Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 10/11/2021- 160 Hours Per Month- 160 Hours During Trading 6. 12/20/2024- Western Wealth Advisors- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 10/11/2021- 160 Hours Per Month- 160 Hours During Trading 7. 12/24/2024- Western Wealth Management, LLC- Registered Investment Advisor DBA- I provide investment advisory services and am the CCO of Western Wealth Management, LLC an independent investment advisor firm. I started this business activity in 120/2024. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.- INV Related- At Reported Business Location(s)- Start date 10/11/2021- 40 Hours Per Month- 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-15 |
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