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3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2017-03-13 |
| TX | RA | APPROVED_RES | 2017-03-13 |
| AZ | RA | APPROVED | 2017-03-10 |
Branch Locations
6909 E Greenway Parkway Suite 295, Scottsdale, AZ 85254 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Scottsdale | AZ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 11/2016 | 03/2017 |
| Lpl Financial, Llc | Scottsdale | AZ | 03/2017 | Present |
| Stratos Wealth Partners, Ltd | Scottsdale | AZ | 03/2017 | Present |
1) 01/11/2017 - Stratos Wealth Partners - DBA for LPL Business (entity for LPL business)- inv rel - at reported business location(s) - start: 02/01/2017 - 160 hr/mth 2) 01/11/2017 - FINRA Arbitrator - Rockville, MD - non-inv rel - start: 05/01/1987 - 1 hr/mth. 3) 3/10/2017 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 4) 3/13/2017 - Stratos Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 02/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Stratos Wealth Partners, an independent investment advisor firm. I started this business activity in 2/2017. I expect to spend approximately 160 hours per 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. 5) 1/25/2018 - Bruce A. Lindvig, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 11/15/2017 - 1 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1980-02-09 |
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