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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-10-05
  • CO RA
    APPROVED
    Since 2022-10-05

Branch Locations

14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States

Windsor, CO • United States

Western Wealth Management Llc

14143 Denver Pkwy., Ste 450, Golden, CO 80401 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-11-07
  • CO RA
    APPROVED
    Since 2021-11-07

Branch Locations

14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
  • 2011-01-27 → 2021-08-23
    Waddell & Reed
    Overland Park, KS
    Overland Park, KS
  • 2010-02-17 → 2010-06-11
    Burch & Company, Inc
    Kansas City, MO
    Kansas City, MO
  • 2009-10-05 → 2010-01-07
    Kansas City, MO
  • 2004-04-14 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Kansas City, MO
    Kansas City, MO
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-26
S63 Uniform Securities Agent State Law Examination 1991-04-15
  • S65 Uniform Investment Adviser Law Examination
    2007-11-26
  • S63 Uniform Securities Agent State Law Examination
    1991-04-15
Other Names
  • Kara Lynn Foley

View on SEC IAPD

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