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254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2017-05-26 |
| TX | RA | APPROVED_RES | 2017-03-13 |
| CA | RA | APPROVED | 2016-11-22 |
Branch Locations
730 Arizona Avenue Suite 221, Santa Monica, CA 90401 • United States
254 E 2Nd Street Suite 2, Powell, WY 82435 • 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 |
|---|---|---|---|---|
| Ids Life Insurance Company | Minneapolis | MN | 03/1983 | 11/2016 |
| American Express Financial Advisors Inc. | Los Angeles | CA | 03/1983 | 11/2016 |
| Lpl Financial, Llc | Los Angeles | CA | 11/2016 | Present |
| Golden State Wealth Management, Llc | South Coast Metro | CA | 11/2016 | Present |
1. 11/21/2016 - CHAMPLAIN WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 160 Hours Per Month During Securities Trading - Time Spent 100%. 2. 11/21/2016 - HARBOR MED TECH, INC. - Not Investment Related - 4 Jenner #190, Irvine, CA 92618 - FOR-PROFIT BOARD MEMBER - Board Member - Started 11/01/2011 - Time Spent 1%. 3. 11/28/2016 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/2016 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Golden State Management, LLC, an independent investment advisor firm. I started this business activity in November 2016-. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's 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. 4. 11/28/2016 - Golden State Wealth Management, LLC - DBA: Golden State Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/2016 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in November 2016 I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-16 |
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