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Current Employers
Golden State Wealth Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-01-17
  • CA RA
    APPROVED
    Since 2019-01-17

Branch Locations

5743 Corsa Avenue, Suite 113, Westlake Village, CA 91362 • 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
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
  • 08/2007 → 01/2017
    Morgan Stanley & Co., Incorporated
    Thousand Oaks, CA
  • 06/2009 → 01/2017
    Morgan Stanley Smith Barney
    Thousand Oaks, CA
  • 01/2017 → Present
    Lpl Financial, Llc
    Westlake Village, CA
  • 01/2017 → Present
    Westlake Village, CA
Previous Registrations
  • 2009-06-01 → 2017-01-23
    Thousand Oaks, CA
    Westlake Village, CA
  • 2007-08-23 → 2009-06-01
    Morgan Stanley & Co. Llc
    Thousand Oaks, CA
  • 2002-05-28 → 2007-08-06
    Woodland Hills, CA
    Woodland Hills, CA
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-04
S63 Uniform Securities Agent State Law Examination 1993-02-18
  • S65 Uniform Investment Adviser Law Examination
    1998-08-04
  • S63 Uniform Securities Agent State Law Examination
    1993-02-18
Other Names
  • Linda Ann Esbig
  • Lin Anschultz

View on SEC IAPD

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