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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-02-11 |
Branch Locations
1917 Palomar Oaks Way Suite 140, Carlsbad, CA 92008 • United States
225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
San Marcos, CA • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Carlsbad | CA | 07/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Carlsbad | CA | 11/2016 | 01/2017 |
| Kestra Investment Services | Carlsbad | CA | 01/2017 | 02/2022 |
| Kestra Private Wealth Service | Carlsbad | CA | 01/2017 | 02/2022 |
| Wedbush Securities | Carlsbad | CA | 02/2022 | Present |
1) Business Name: Stone Beacon Capital Investment Related: Yes Address: 1917 Palomar Oaks Way, Suite 140 Carlsbad CA 92008 Nature of Business: Registered Rep Activities through Wedbush Securities using a DBA name. Title or Relationship: CEO, IAR Start Date: 1/12/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment Advisory Services 2) American Cancer Society, San Diego, CA. Not investment related. Executive Partnership Counsel. Member at Large for the organization. About 12 hours yearly are devoted to the activity. Start date: 2/11/26
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-02 |
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