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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-03-19 |
Branch Locations
15110 Dallas Parkway Suite 500, Dallas, TX 75248 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-06 |
Branch Locations
15110 Dallas Parkway Suite 500, Dallas, TX 75248 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Napa | CA | 01/2004 | Present |
| Advisor Resource Council (Formerly: 360 Wealth Management, Llc) | Napa | CA | 11/2017 | Present |
1. 11/11/2011: OTHER-TELEVISION PRODUCTION - NAPA VALLEY STUDIES (START UP AND TRADEMARK) - I HAVE BEEN ASKED TO BE THE CO-EXECUTIVE PRODUCER OF A FOOD AND WINE TELEVISION SHOW TO BE FILMED IN THE NAPA VALLEY. MY DUTIES WILL BE TO COORDINATE THE EFFORTS OF SHOW'S TALENT, REPRESENTATION AND COUNSEL. - 6% OF TIME SPENT. 2. 10/01/2014 - NAPA VALLEY FINANCIAL - NON-VARIABLE INSURANCE DBA - TIME SPENT 100% - NAPA, CA 3. 10/14/2015 * Napa Valley Studios * Business Owner * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 11/20/12 * 2 HRS/MO DURING SECS TRDG HRS. 4. 3/1/2017 - No Business Name - Investment Related - Napa, CA - Real Estate Rental - Started 10/01/1987 - 1 Hour Per Month/0 Hours During Securities Trading - Duplex. 5. 10/3/2019 - Advisor Resource Council - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/01/2020 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Advisor Resource Council, an independent investment advisor firm. I started this business activity in Jan 2020. I expect to spend approximately 120 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. 6. 10/3/2019 - Advisor Resource Council - DBA: Napa Valley Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 01/01/2020 - 120 Hours Per Month/120 Hours During Securities Trading. 7. 06/21/2022 - 1795 Third Street LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 03/25/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-06-11 |
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