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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
Branch Locations
1201 S Maine St Ste C, Yreka, CA 96097 • United States
211 N Mt. Shasta Blvd Ste. 201, Mount Shasta, CA 96067 • 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 |
|---|---|---|---|---|
| Walton Woodcraft | Palmdale | CA | 01/2015 | 12/2016 |
| N/A | Ojai | CA | 01/2017 | 08/2019 |
| Shaun Walton And Company | Yreka | CA | 08/2019 | 08/2022 |
| Stifel, Nicolaus & Co, Inc | Fort Jones | CA | 08/2022 | 12/2022 |
| Stifel, Nicolaus & Co, Inc | Fort Jones | CA | 12/2022 | 06/2023 |
| Commonwealth Financial Network | San Diego | CA | 06/2023 | Present |
| Harkness Financial | Yreka | CA | 06/2023 | Present |
1. Fixed insurance sales; as of 06/29/2023; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Pacific Private Wealth, LLC , a private entity established to facilitate securities, advisory, and insurance business; Located in Yreka, CA 96097, as of 01/04/2024; 5% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-19 |
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