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931 Hartz Avenue Suite 201, Danville, CA 94526 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-04-05 |
| CA | RA | APPROVED | 2017-01-09 |
Branch Locations
931 Hartz Way Suite 201, Danville, CA 94526 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-07-16 |
| CA | RA | APPROVED | 2006-01-10 |
Branch Locations
931 Hartz Way, Suite 201, Danville, CA 94526-3878 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Danville | CA | 12/2005 | Present |
| Fisher & Wiens Wealth Management | Danville | CA | 12/2005 | Present |
1. 5/16/2006 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Selling Blue Cross health insurance plans. 2. 6/5/2006 - Trumark Wholesale Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Selling non-variable life. 3. 10/23/2007 - Fisher & Wiens Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 15% - Selling life insurance, health and long-term care insurance. 4. 8/22/2013 - Fisher And Wiens Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 5. 8/27/2013 - FISHER & WIENS WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE DBA - TIME SPENT 5%. 6. 12/8/2016 - Fisher and Wiens Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/17 - 5 Hours Per Month During Securities Trading. 7. 1/10/2017 - Fisher & Wiens Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 01/03/17 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Fisher & Wiens Wealth Management, LLC, an independent investment advisor firm. I started this business activity in January 2017. I expect to spend approximately 120 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.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 12/11/2024 - Bay Valley Suns Sports Club - Other - Owner of Semi Professional Soccer Club - Not Investment Related - Danville, CA - Start Date 09/09/2024 - 5 hours per month/ 2 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-09 |
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