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Current Employers
Proactive Wealth Strategies, Llc

533 Johnson Ferry Road Bldg. C Suite 100, Marietta, GA 30068 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-07
GA RA APPROVED 2022-05-05
  • TX RA
    APPROVED_RES
    Since 2022-07-07
  • GA RA
    APPROVED
    Since 2022-05-05

Branch Locations

533 Johnson Ferry Road Bldg. C Suite 100, Marietta, GA 30068 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Invest Financial Corporation Tampa FL 05/2011 02/2018
Lpl Financial Llc Marietta GA 02/2018 Present
Proactive Wealth Strategies, Llc Marietta GA 03/2022 Present
  • 05/2011 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 02/2018 → Present
    Lpl Financial Llc
    Marietta, GA
  • 03/2022 → Present
    Marietta, GA
Previous Registrations
  • 2011-05-20 → 2018-02-20
    Invest Financial Corporation
    Marietta, GA
    Appleton, WI
    Marietta, GA
    Marietta, GA
    Marietta, GA
    Smyrna, GA
    Appleton, WI
  • 2010-01-15 → 2011-07-06
    Proactive Wealth Strategies, Llc
    Marietta, GA
  • 2007-08-09 → 2009-12-31
    Proactive Wealth Strategies, Llc
    Marietta, GA
  • 2007-04-18 → 2007-08-21
    Triad Advisors Llc
    Atlanta, GA
    Marietta, GA
  • 2005-03-17 → 2007-04-16
    1717 Capital Management Company
    Atlanta, GA
    Atlanta, GA
  • 2004-01-14 → 2005-01-14
    Cetera Advisors Llc
    Atlanta, GA
Other Businesses

1. 02/14/2018 - PWS REAL ESTATE, LLC - Not Investment Related - 533 JOHNSON FERRY ROAD, BLDG. C, SUITE 100, MARIETTA,GA 30068- Real Estate Rental - Start Date 5/31/16. 2. 02/14/2018 - PROACTIVE WEALTH STRATEGIES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 6/11/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/03/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 07/30/2019 - Proactive Wealth Management - Not investment related - 6240 Old Hickory Pt - Business Entity For Tax/Investment Purposes Only - start date:08/01/2019 - 2 hrs/mo - 0 hrs during trading. 5. 05/10/2022 - Proactive Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 04/01/2022- 160 Hours Per Month/ 8 Hours During Securities Trading- Time Spent 100% - I provide investment advisory services through Proactive Wealth Strategies, LLC, an independent investment advisor firm. I started this business activity in 5/2022. 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-12
S65 Uniform Investment Adviser Law Examination 1999-02-24
S63 Uniform Securities Agent State Law Examination 1994-07-29
  • S66 Uniform Combined State Law Examination
    2014-06-12
  • S65 Uniform Investment Adviser Law Examination
    1999-02-24
  • S63 Uniform Securities Agent State Law Examination
    1994-07-29

View on SEC IAPD

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