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100 Pacifica Suite 370, Irvine, CA 92618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-21 |
| ID | RA | APPROVED | 2024-08-05 |
| UT | RA | APPROVED | 2023-06-06 |
| TX | RA | APPROVED_RES | 2020-01-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Irvine | CA | 01/2009 | Present |
| Dove Investment Research & Management, Inc | Irvine | CA | 01/2015 | Present |
| Dove Investment Research & Management, Inc | Irvine | CA | 05/2019 | Present |
1. 5/17/2016 - Dove Investment Research and Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/16/2016 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 1/10/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/07/2018 - 3 Hours Per Month/0 Hours During Securities Trading. 3. 5/1/2019 - Dove Investment Research and Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/14/2019 - 10-20 Hours Per Month/5-10 Hours During Securities Trading - I provide investment advisory services through Dove Investment Research and Management, an independent investment advisor firm. I started this business activity in 01/2019. I expect to spend approximately 10-20 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. 7/12/2021 - Dove Investment Research and Management - DBA: Dove Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Dove Investments as short for Dove Investment Research and Management. 5. 09/28/2023 - Thomas Graffeo - Business Owner - Land Owner - Not Investment Related - Draper, UT - Start Date 09/15/2023 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-18 |
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