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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-08-02 |
Branch Locations
4944 Windplay Drive #115, El Dorado Hills, CA 95746-6818 • United States
5743 Corsa Avenue, Suite 113, Westlake Village, CA 91362 • United States
Granite Bay, CA • United States
254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-14 |
| TX | RA | APPROVED | 2017-11-14 |
Branch Locations
254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
4944 Windplay Dr., Suite 115, El Dorado Hills, CA 95762 • 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 |
|---|---|---|---|---|
| Royal Alliance | Sacramento | CA | 06/2015 | 10/2017 |
| Lpl Financial, Llc | Granite Bay | CA | 11/2017 | Present |
| Golden State Wealth Management, Llc | Granite Bay | CA | 11/2017 | Present |
| Genovese Burford & Brothers Wealth & Retirement Plan Mgmt Llc | Sacramento | CA | 06/2015 | 11/2017 |
1. 11/13/2017 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ 0%/ 102 ALEZANE DR, FOLSOM, CA 95630 2. 11/13/2017 - GRANITE BAY WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 80%/ GRANITE BAY, CA 3. 11/14/2017 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 11/17/2017 - 120 Hours Per Month/6 Hours During Securities Trading - Time Spent 80% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in November 2017. I expect to spend approximately 120 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 11/14/2017 - Golden State Wealth Management, LLC - DBA: Granite Bay Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 11/17/2017 - 120 Hours Per Month/6 Hours During Securities Trading - Time Spent 80% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in Nov 2017. I expect to spend approximately 120 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 10/2/2020 - Westlake Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/1/2020 - 120 Hours Per Month/6 Hours During Securities Trading. 6. 1/26/2022 - Golden State Asset Management, LLC ' DE - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/21/2021 - Time Spent 2% - I provide investment advisory services through Golden State Asset Management, LLC `DE, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 0 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. 7. 09/29/2023 - Real Estate Rental - Investment Related - Granite Bay CA - Start Date 07/01/2023 - 0 Hours Per Month 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-16 |
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