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11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-03 |
Branch Locations
32107 Lindero Canyon Rd. Suite 217, Westlake Village, CA 91361 • 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 |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 06/2014 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 06/2014 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 09/2022 |
| Cetera Advisors Llc | Westlake Village | CA | 09/2022 | 03/2023 |
| Royal Alliance Associates, Inc. | Westlake Village | CA | 03/2023 | Present |
1. LAW OFFICE OF VICTOR J MASTRELLA POSITION: Attorney at Law NATURE: Sole proprietor offering legal services. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 06/11/1996 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: Giving legal consultation, analysis and representation. 2. INSURANCE; FIXED INSURANCE; INDEPENDENT CONTRACTOR; 4 HOURS PER MONTH; START DATE: 06/13/2014 3. UPTICK WEALTH MANAGEMENT - INSURANCE POSITION: Insurance Agent NATURE: Sole Proprietorship selling Life, Health & LTC Insurance & Fixed Annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2014 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: Selling Life, Health & LTC Insurance & Fixed Annuities. 4. UPTICK WEALTH MANAGEMENT - DBA POSITION: Owner-Financial Professional NATURE: Sole Proprietorship DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 06/14/2014 ADDRESS: 340 N. Westlake Boulevard, Suite 118, Westlake Village CA 91362, United States DESCRIPTION: This is my DBA which covers all of the responsibilities I have regarding my duties as a financial professional, including but not limited to, opening client accounts, providing investment advice and recommendations to clients, supervising and maintaining client accounts, particularly in fee-based manner. 5. NWF ADVISORY SERVICES RIA POSITION: Registered Investment Advisor NATURE: Sole Proprietorship. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 03/27/2023 ADDRESS: 340 N. Westlake Boulevard Ste 118, Suite 118, Westlake Village CA 91361, United States DESCRIPTION: As a RIA I meet with clients to create investment portfolios. I review the portfolios on my own and with clients as well and make adjustments as needed.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-29 |
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