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254 E 2Nd Street Suite 2, Powell, WY 82435 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-01-17 |
Branch Locations
5743 Corsa Avenue, Suite 113, Westlake Village, CA 91362 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co., Incorporated | Thousand Oaks | CA | 08/2007 | 01/2017 |
| Morgan Stanley Smith Barney | Thousand Oaks | CA | 06/2009 | 01/2017 |
| Lpl Financial, Llc | Westlake Village | CA | 01/2017 | Present |
| Golden State Wealth Management, Llc | Westlake Village | CA | 01/2017 | Present |
1. 01/13/2017 - WESTLAKE INVESTMENT ADVISORS/ DBA for LPL Business (entity for LPL business)/ 100%/ WESTLAKE VILLAGE, CA. 2. 1/18/2107 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 01/13/2017 - 160 Hours Per Month - Time Spent 100% - I provide administrative services through Golden State Wealth Management, an independent investment advisor firm. I started this business activity in January 2017. 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. 3. 11/6/2020 - Granite Bay Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/1/2020 - 80 Hours Per Month/4 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-18 |
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