ADV Part 2B

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ADV Part 2B

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Supplement to the Stella Nova™ Program Brochure

October 20, 2020[/vc_column_text][vc_empty_space height=”50″][vc_column_text]Golden State Asset Management
201 E Sandpoint Ave., Suite 460
South Coast Metro, CA 92707
(P): 866-273-1563
http://www.MyStellaNova.com

This brochure supplement provides information about the qualifications and business practices of those Supervised Persons that provide discretionary investment advice under Stella Nova™, the automated digital portfolio management service offered through Golden State Asset Management, LLC (“Golden State”, “GSAM”, “Stella Nova” and/ or the “Firm”). You should have received a copy of the respective brochure. Please contact GSAM at the number above if you didn’t receive a brochure or if you have any questions about the contents of this supplement. Additional information about GSAM is available on the SEC website at adviserinfo.sec.gov.

Stella Nova’s discretionary investment advice is provided by a team and GSAM has provided information for the Supervised Persons with the most significant responsibility for the day-to-day investment advisory services to Clients.

Daniel Catone (1979)

  • Education
    • 2001: Whittier College; Bachelor of Science in History & Political Science
  • Business Background:
    • 12/2018-present: Golden State Asset Management, LLC; Managing Member, IAR
    • 05/2013-present: Golden State Wealth Management, LLC; Managing Member, IAR
    • 02/2012-present: LPL Financial, LLC; Registered Representative
    • 06/2005-present: Redwood Investment Group, Inc. President & IAR
    • 10/2010-02/2012: Integrity Asset Management; President & Financial Advisor
    • 06/2009-02/2012: Raymond James Financial Services, Inc; Financial Advisor
    • 10/2001-06/2005: Edward Jones Investments; Financial Advisor
  • Exams, Licenses, & Other Professional Designations
    • 2012: Accredited Wealth Management Advisor (AWMA®) (see below for more information)
    • 2011: Series 9 & Series 10 Exams
    • 2006: Series 66 Exam
    • 2002: Insurance Agent
    • 2001: Series 7 & Series 63 Exams
  • Disciplinary Information:  None
  • Other Business Activities:  Mr. Catone also owns an interest in Golden State Wealth Management, LLC, Golden State Equity Partners, LLC and Redwood Investment Group, Inc., which are affiliated registered investment advisers under common control.  He is also a registered representative with LPL Financial.
  • Supervision:  Mr. Catone reports to Patrick Catone, the Chief Compliance Officer.

 

Patrick Catone (1986)

  • Education
    • 2008: California State University; Bachelor of Arts in Communications/Advertising
  • Business Background:
    • 1/2019-present: LPL Financial, LLC; Registered Representative
    • 12/2018-present: Golden State Asset Management, LLC; Managing Member, Chief Compliance Officer, & IAR
    • 03/2018-present: Golden State Equity Partners, LLC; Managing Member
    • 05/2013-present: Golden State Wealth Management, LLC; Managing Member, Chief Compliance Officer, & IAR
    • 06/2012-3/2018: LPL Financial, LLC; Registered Representative
    • 06/2012-present: Redwood Investment Group, Inc; IAR
    • 11/2009-03/2018: Raymond James Financial Services, Inc; Financial Advisor
  • Exams, Licenses, & Other Professional Designations
    • 2013: Series 24 Exam
    • 2012: Fixed & Variable Annuity Insurance
    • 2011: Series 7 & Series 66 Exams
    • 2010: Accident & Health & Life Insurance
  • Disciplinary Information:  None
  • Other Business Activities:  Mr. Catone also owns an interest in Golden State Wealth Management, LLC and Golden State Equity Partners, LLC, which are affiliated registered investment advisers under common control.
  • Supervision:  Mr. Catone is supervised by Daniel Catone.

 

Kyle Fairall

  • Education
    • 2005: California State University, Sacrament; Bachelor of Arts in Finance and Minor in Economics
  • Business Background:
    • 12/2013-present: Golden State Asset Management, LLC; Member & IAR
    • 03/2016-present: Golden State Wealth Management, LLC; Wealth Manager
    • 04/2014-present: Redwood Investment Group, Inc., LLC; Financial Advisor
    • 07/2014-present: LPL Financial, LLC; Registered Representative
  • Exams, Licenses, & Other Professional Designations
    • 2014: Series 7 & Series 66 Exams
    • 2014: California Life Insurance
  • Disciplinary Information:  None
  • Other Business Activities:  Mr. Fairall is also a registered representative with LPL Financial.
  • Supervision:  Mr. Fairall is supervised by Patrick Catone, GSAM’s Chief Compliance Officer.

 

John Nahas

  • Education
    • 2000: University of Southern California; Business
  • Business Background:
    • 07/2020-present: Golden State Asset Management, LLC; Managing Member & IAR
    • 2/2019-present: LPL Financial, LLC; Registered Representative
    • 11/2017-present: Golden State Equity Partners, LLC; Managing Member & IAR
    • 02/2014-present: Golden State Wealth Management, LLC; Financial Advisor
    • 02/2014-11/2017: LPL Financial, LLC; Registered Representative
  • Exams, Licenses, & Other Professional Designations
    • 2001: Series 6 & 63 Exams
    • 2002: Series 7 Exam
    • 2014: Series 65 Exam
  • Disciplinary Information:  None
  • Other Business Activities:  Owner and/or investment advisor representatives of Golden State Wealth Management, LLC, Golden State Equity Partners, LLC.
  • Supervision:  Mr. Nahas is supervised by Patrick Catone, GSAM’s Chief Compliance Officer.

 

Designations

Mr. Daniel Catone holds the Accredited Wealth Management Advisor designation.  The College for Financial Planning® awards the ACCREDITED WEALTH MANAGEMENT ADVISORSM AND AWMA® designation to students who successfully complete the program, pass the final examination and comply with the Code of Ethics, which includes agreeing to abide by the Standards of Professional Conduct and Terms and Conditions. Applicants must also disclose of any criminal, civil, self-regulatory organization, or governmental agency inquiry, investigation, or proceeding relating to their professional or business conduct. Conferment of the designation is contingent upon the College for Financial Planning’s review of matters either self-disclosed or which are discovered by the College that are required to be disclosed.

Continued use of the AWMA® designation is subject to ongoing renewal requirements. Every two years individuals must renew their right to continue using the AWMA® designation by completing 16 hours of continuing education and reaffirming to abide by the Standards of Professional Conduct, Terms and Conditions, and self-disclose any criminal, civil, self-regulatory organization, or governmental agency inquiry, investigation, or proceeding relating to their professional or business conduct.

GSAM has no affiliation with the College for Financial Planning.

Advisory services are provided by Golden State Asset Management, a registered investment advisor. If you have any questions about our services, please call 866-273-1563- and leave your name and a phone number where you can be reached. A member of our management team will contact you within two business days.[/vc_column_text][/vc_column_inner][/vc_row_inner][vc_empty_space height=”50″][vc_separator type=”normal” color=”#d2ab67″ thickness=”7″][/vc_column][/vc_row]