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1957 Carson Street Suite 100, Torrance, CA 90501 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-01-20 |
Branch Locations
1957 Carson Street Suite 100, Torrance, CA 90501 • 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 |
|---|---|---|---|---|
| Morgan Stanley | Santa Monica | CA | 09/2013 | 01/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2017 |
| Lpl Financial, Llc | Torrance | CA | 01/2017 | Present |
| Tortuga Wealth Management | Torrance | CA | 01/2017 | Present |
1. 01/19/2017 - TORTUGA WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 10/12/2016 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 49%. 2. 2/2/2017 - Tortuga Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/12/2016 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Tortuga Wealth Management, an independent investment advisor firm. I started this business activity on 02/02/2017. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firms 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. 3. 05/29/2019 - Exclusive Insurance Brokerage - Investment related - At reported business location(s) - Non-Variable Insurance - start date:05/01/2019 - 5 hrs/mo - 1 hr during trading. 4. 3/11/2020 - Avondale426 Investors, LLC - Investment Related - Austin, TX; Venice, CA; and Santa Monica, CA - Real Estate Rental - 2 Hours Per Month/0 Hours During Securities Trading - 1/7th owner of Avondale. 5. 6/23/2021 - Kaena Foundation - Not Investment Related - Location/Address: virtual - Non-Profit Board Member - Started 06/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Assist with the overall strategy of the foundation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-11-21 |
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