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690 De Long Ave. Suite 300, Novato, CA 94945 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-03-06 |
Branch Locations
690 De Long Ave. Suite 300, Novato, CA 94945 • United States
Novato, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | N0Vato | CA | 01/2005 | Present |
| Alpha Wealth Management,Llc | Novato | CA | 03/2015 | Present |
1. 4/3/2008 - OTHER-S CORP. - PENNY CHIN BACHARACH INVESTMENTS - CONVERTED S CORPORATION TO LLC FOR PENNY CHIN BACHARACH INVESTMENTS, LLC. - TIME SPENT 0% - NOVATO, CA. 2. 3/9/2009 - OTHER-HSA - REFERRING CLIENTS TO HSA. - TIME SPENT 0% - NOVATO, CA. 3. 2/26/2013 - REAL ESTATE RENTAL - REAL ESTATE RENTALS - TIME SPENT 10% - LIVERMORE, MANTECA, TIBURON & NOVATO, CA 4. 03/26/2015 - ALPHA WEALTH MANAGEMENT AND PLANNING - REGISTERED INVESTMENT ADVISOR - TIME SPENT 2 HOURS PER MONTH - NOVATO, CA. 5. 12/13/2016 - Sun Life Financial - Investment Related - Home Based - Non-Variable Insurance Trails Only - Started 12/07/2016 - 0 Hours Per Month. 6. 05/16/2023 - 35 Maple St., LLC - Investment Related - Sonoma, CA - Real Estate Rental - Start Date 06/17/2021 - 05 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-04 |
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