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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-12 |
| CT | RA | APPROVED | 2019-01-18 |
Branch Locations
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 (F/K/A Linsco Private Ledger) | Norfolk | VA | 01/2007 | 11/2018 |
| Independent Financial Group | Norfolk | CT | 11/2018 | Present |
(1) NOTARY PUBLIC POSITION: Officer/Director NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2018 ADDRESS: 10 Station Pl., Norfolk CT 06058, United States DESCRIPTION: NOTARY PUBLIC FOR CLIENTS (2) WGD WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2007 ADDRESS: 10 Station Pl., Norfolk CT 06058, United States DESCRIPTION: (100% OWNER OF DBA WGD WEALTH MANAGEMENT, LLC FOR MARKETING PURPOSES. (3) CENTER CEMETERY NORFOLK, CT POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2025 ADDRESS: 2 Station Place, Norfolk CT 06058, United States DESCRIPTION: Meet once per year to approve the annual budget as well as discuss and approve improvements to the cemetery.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-15 |
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