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Current Employers
Ascentis Asset Management, Llc

5001 Spring Valley Rd Suite 810W, Dallas, TX 75244 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-03-25
  • CA RA
    APPROVED
    Since 2022-03-25

Branch Locations

319 North Main Street, Fort Bragg, CA 95437 • United States

Golden State Wealth Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-02-29
  • CA RA
    APPROVED
    Since 2016-02-29

Branch Locations

319 N. Main St, Fort Bragg, CA 95437 • United States

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

Redwood Investment Group, Inc

319 N Main Street, Fort Bragg, CA 95437 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-03-04
  • CA RA
    APPROVED
    Since 2015-03-04

Branch Locations

319 N Main Street, Fort Bragg, CA 95437 • 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
Lpl Financial, Llc Fort Bragg CA 03/2014 Present
Redwood Investment Group, Inc. Fort Btagg CA 04/2014 Present
Golden State Wealth Management Fort Bragg CA 06/2016 Present
Golden State Asset Management Redwood CA 03/2019 Present
  • 03/2014 → Present
    Lpl Financial, Llc
    Fort Bragg, CA
  • 04/2014 → Present
    Fort Btagg, CA
  • 06/2016 → Present
    Golden State Wealth Management
    Fort Bragg, CA
  • 03/2019 → Present
    Golden State Asset Management
    Redwood, CA
Previous Registrations
  • 2020-07-10 → 2022-03-14
    Golden State Asset Management
    Fort Bragg, CA
Other Businesses

1.1/16/2015:REDWOOD INVESTMENTS--InvestRel--AtReptBusLoc(s)--DBAforLPL Business--Started12/29/2014--40Hrs/Mo.;4HrsDuringSecuritiesTrading. 2.2/29/2016:Golden State Wealth Management--InvestRel--AtReptBusLoc(s)--DBAforLPL Business--Started03/01/2016--20Hrs/Mo.;1HrDuringSecuritiesTrading. 3.3/2/2016:Redwood Investment Group, Inc.--InvestRel--AtReptBusLoc(s)--RIA/Hybrid--STARTED04/20/14--140Hrs/Mo.;6 HrsDuringSecuritiesTrading. 4.3/2/2016:Golden State Wealth Management, LLC--InvestRel--AtReptBusLoc(s)--RIA/Hybrid--STARTED03/01/201620Hrs/Mo.;1HrDuringSecuritiesTrading. 5.10/8/2018:Redwood Investments--InvestRel--AtReptBusLoc(s)--DBAforLPL Business--Started10/02/2018--40Hrs/Mo.DuringTrading. 6.10/9/2018--Redwood Investment Group, Inc.--DBA:Redwood Investments--InvestRel--AtReptBusLoc(s)--RIA/DBA--IAR--Started10/02/2018--40Hrs/Mo.DuringTrading--I provide investment advisory services through Redwood Investment Group Inc., an independent investment advisor firm. I started this business activity in April 2014. I expect to spend about 40 hours/month on this activity. Please see the advisory firm's Form ADV.. 7.2/6/2019:golden state wealth management--DBA:Golden State--InvestRel--AtReptBusLoc(s)--DBAforLPL Business--Started10/30/2018--40Hrs/Mo.DuringSecuritiesTrading. 8.2/12/2019:Golden State Wealth Management, LLC--DBA:Golden State (Hybrid)--InvestRel--AtReptBusLoc(s)--RIA/DBA--IAR--Started10/30/2018--40Hrs/Mo.DuringTrading--I provide investment advisory services through Golden State Wealth Management, an independent investment advisor firm. I started this business activity in Feb 2016. I expect to spend about 40 hours/month on this activity. Please see the advisory firm's Form ADV.. 9.3/5/2019:Golden State Equity Partners, LLC--InvestRel--AtReptBusLoc(s)--RIA/DBA--Started02/20/2019--3Hrs/Mo.;1HrDuringTrading--I provide administrative services through Golden State Equity Partners, an independent investment advisor firm. I started this business activity in Feb 2019. I expect to spend about 3 hours/month on this activity. Please see the advisory firm's Form ADV.. 10.3/26/2019:Golden State Asset Management--InvestRel--AtReptBusLoc(s)--RIA/DBA--Started12/28/2018--30Hrs/Mo.;1HrDuringTrading--I provide investment advisory services through Golden State Asset Management, an independent investment advisor firm. I started this business activity in March 2019. I expect to spend about 30 hours/month on this activity. Please see the advisory firm's Form ADV.. 11.10/20/2020:Golden State Asset Management--DBA:Stella Nova--InvestRel--AtReptBusLoc(s)--RIA/DBA--Member--Started9/1/2020--120Hrs/Mo.;8HrsDuringTrading--TimeSpent 70%--I provide investment advisory services through Golden State Asset Management, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend about 120 hours/month on this activity. Please see the advisory firm's Form ADV... 12. 01/18/2022 - Golden State Asset Management, LLC-WY - Not Investment Related - 201 E. Sandpointe Ave, Ste 460. South Coast Metro CA 942691 - Business Entity For Tax/Investment Purposes Only - Start Date: 12/21/2021 - 30 Hours Per Month/30 Hours During Trading. 13. 02/04/2025 - Fairall Ranch - Not Investment Related - At Reported Business Location(s)-Other - Agriculture - Start Date:01/15/2025 -5 Hrs/Mth - 0 Hrs During Trading. 14. 01/21/2026- Fairall Wealth Management- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 01/06/2026 - 100 hrs per month/ 30 hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-26
  • S66 Uniform Combined State Law Examination
    2014-09-26

View on SEC IAPD

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