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1190 Saratoga Ave., Suite 140, San Jose, CA 95129 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-06 |
Branch Locations
1190 Saratoga Ave., Suite 140, San Jose, CA 95129 • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | San Jose | CA | 10/2015 | Present |
| Retirement Capital Strategies, Inc. | San Jose | CA | 03/2016 | Present |
1. 04/07/2016 * Retirement Capital Strategies * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 12/31/2015 * 160 HRS/MO; 40 HRS/MO DURING SECS TRDG. HRS. 2. 10/17/2017 - Retirement Capital Strategies, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/21/2016 - 160 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Retirement Capital Strategies, Inc., an independent investment advisor firm. I started this business activity in October 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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-03-02 |
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