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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-05-06 |
Branch Locations
301 California Dr. Ste 10, Burlingame, CA 94010 • United States
301 California Dr. Suite 10, Burlingane, CA 94010 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • 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 |
|---|---|---|---|---|
| Morgan Stanley | Palo Alto | CA | 09/2013 | 07/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2017 |
| B. Riley Wealth Management | Burlingame | CA | 07/2017 | 05/2024 |
| B. Riley Wealth Advisors, Inc. | Burlingame | CA | 07/2022 | 05/2024 |
| Lpl Financial | Burlingame | CA | 05/2024 | Present |
1- 05/2024 / Keller Capital Advisors/ DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 05/2024 / OAKS DRIVE, LLC / Real Estate Rental / Hillsborough, CA / Investment Related / 1 hr mth / Start date: 08/01/2015 3- 05/03/2024 - Keller Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/03/2024 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-23 |
| S65 | Uniform Investment Adviser Law Examination | 1995-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-23 |
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