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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-08-02
  • CA RA
    APPROVED
    Since 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

Golden State Wealth Management, Llc

254 E 2Nd Street Suite 2, Powell, WY 82435 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-11-14
TX RA APPROVED 2017-11-14
  • CA RA
    APPROVED
    Since 2017-11-14
  • TX RA
    APPROVED
    Since 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

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
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
  • 06/2015 → 10/2017
    Royal Alliance
    Sacramento, CA
  • 11/2017 → Present
    Granite Bay, CA
  • 11/2017 → Present
    Granite Bay, CA
  • 06/2015 → 11/2017
    Genovese Burford & Brothers Wealth & Retirement Plan Mgmt Llc
    Sacramento, CA
Previous Registrations
  • 2015-07-10 → 2019-03-29
    Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc
    Sacramento, CA
  • 2006-11-06 → 2015-06-30
    El Dorado Hills, CA
    El Dorado Hills, CA
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-07
S63 Uniform Securities Agent State Law Examination 1995-10-16
  • S65 Uniform Investment Adviser Law Examination
    1999-05-07
  • S63 Uniform Securities Agent State Law Examination
    1995-10-16
Designations
Other Names
  • John Jacob Zezini

View on SEC IAPD

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