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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-11
  • CA RA
    APPROVED
    Since 2025-03-11

Branch Locations

2040 Main Street, Suite 175, Irvine, CA 92614 • United States

Stratos Wealth Partners, Ltd

3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2016-03-16
TX RA APPROVED 2016-03-16
CA RA APPROVED 2014-09-30
  • LA RA
    APPROVED
    Since 2016-03-16
  • TX RA
    APPROVED
    Since 2016-03-16
  • CA RA
    APPROVED
    Since 2014-09-30

Branch Locations

2040 Main Street Suite 175, Irvine, CA 92614 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stratos Wealth Partners, Ltd Irvine CA 08/2013 Present
Cal State Fullerton Fullerton CA 08/2012 Present
Lpl Financial Llc Irvine CA 06/2014 Present
Other Businesses

1) 2014-06-03 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Stratos Wealth Partners / - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2014-05-21 - hrs/mth - hrs/mth during trading 2) 2014-06-04 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Stratos Wealth Partners - Registered Investment Advisor Hybrid - Y - at reported business location(s) - 2014-05-21 - hrs/mth - hrs/mth during trading 3) 2018-02-08 - The Stephen E Salisbury Trust - Act in a Fiduciary Capacity - Y - 2 park plaza suite 350 irvine ca 92614 - 2018-01-25 - 0hrs/mth - 0hrs/mth during trading 4) 2018-03-22 - Salisbury Financial Group - Business Entity For Tax/Investment Purposes Only - N - at reported business location(s) - 2018-02-20 - 1hrs/mth - 0hrs/mth during trading 5) 2019-10-07 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Rooted Advisory Group - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2019-10-03 - 20hrs/mth - 10hrs/mth during trading 6) 2019-10-09 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Stratos Wealth Partners, LTD - Registered Investment Advisor DBA - Y - at reported business location(s) - 2019-10-03 - 20hrs/mth - 10hrs/mth during trading - 7) 2025-01-06 - None - Other - Loan - N - at reported business location(s) - 2024-12-30 - 0hrs/mth - 0hrs/mth during trading 8) 2026-05-14 - Stratos Wealth Partners - Non-Variable Insurance - Y - at reported business location(s) - 2026-05-13 - 5hrs/mth - 5hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-27
  • S66 Uniform Combined State Law Examination
    2014-09-27

View on SEC IAPD

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