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6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-21 |
| CA | RA | APPROVED | 2024-05-01 |
Branch Locations
1400 Newport Center Drive Suite 290, Newport Beach, CA 92660 • United States
6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Newport Beach | CA | 10/2003 | 06/2023 |
| Financial Advocates Investment Management | Newport Beach | CA | 11/2017 | 07/2021 |
| Wealth Management Solutions, Llc | Newport Beach | CA | 04/2021 | 05/2024 |
| Balanced Security Planning, Inc. | Newport Beach | CA | 06/2023 | 08/2023 |
| Balboa Wealth Partners, Inc. Dba Wealth Management Solutions | Newport Beach | CA | 04/2024 | Present |
| Lpl Financial Llc | Newport Beach | CA | 10/2003 | 07/2018 |
| Willow Cove Investment Group, Inc | Costa Mesa | CA | 06/2004 | Present |
1) Wealth Management Solutions; Investment related; 1400 Newport Center Drive, Suite 290, Newport Beach, CA 92660; dba for business conducted through Balboa Wealth Partners, Inc.; Wealth Advisor; Start date: 04/20/2024; hours/month: 160; hours during securities trading hours: 160; Investment Advisory business under a dba name with Balboa Wealth Partners, Inc. 2) Mr. Riva is dually registered with Balboa Wealth Partners, Inc. ("Balboa Wealth") and Willow Cove Investment Group, Inc. Mr. Riva is an Investment Advisor Representative ("IAR") of Balboa Wealth and a Registered Representative with Willow Cove since June 2024. Approximately 90% of Mr. Riva's time is for services as an IAR and the balance as a Registered Representative. 3) California Military Reserve; Not investment-related; 9800 Goethe Road, P.O. Box 01, Sacramento, CA 95827; Executive Officer; Start date: 08/01/2018; hours/month 60; hours during securities trading hours: 0; Senior Enlisted Officer to Commanding Officer and Executive Officer to Maritime LIttoral Command Two 4) Orange County Sheriff's Department; Not investment-related; 15991 Armstrong Ave., Tustin, CA. 92782; Volunteer Deputy Sheriff; Start date: 06/01/2007; hours/month: 20; hours during securities trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-08 |
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