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Oakley, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Penn Mutual | Horsham | PA | 03/2015 | 06/2017 |
| Prudential Financial Planning Services | San Ramon | CA | 06/2017 | 11/2024 |
| Lpl Enterprise, Llc | Walnut Creek | CA | 11/2024 | 09/2025 |
| Seven Stages Wealth Llc | Oakley | CA | 07/2026 | Present |
| Golden Gate University | San Francisco | CA | 02/2023 | Present |
| Global Financial Impact Llc | San Francisco | CA | 12/2025 | Present |
1) Global Financial Impact LLC; Not investment-related; Oakley, CA 94561; Insurance sales; Implementation of insurance recommendations; 5 hours per month, 0 during trading hours; Licensed insurance agent 2) Golden Gate University; Not investment-related; San Francisco, CA 94105; Education; Adjunct Professor; 02/2023; 10 hours per month; 5 during trading hours; Instructs courses to graduate and undergraduate students 3) JSK Management & Media LLC; Not investment-related; Oakley, CA. 94561; Media; CEO; 02/2020; 20 hours per month; 0 during trading hours; Various speaking engagements and broadcast opportunities 4) BIM LLC; Not-investment related; Oakley, CA. 94561; Consultant; 5 hours per month; 0 during trading hours, Finance and billing department
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-28 |
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