Golden State Wealth Management, LLC

Golden State Wealth Management, LLC is an investment adviser registered under the Investment Advisers Act of 1940. The firm's home office is located in South Coast Metro, CA. The principal owners and managing members are Daniel Catone, Patrick Catone, and John Nahas. The firm offers a range of services including asset management, comprehensive portfolio management, financial planning, retirement planning, and referrals to third-party money managers. Clients have the option to grant investment discretion to the firm, allowing them to execute securities transactions on their behalf. The firm does not have custody of client assets, which are held at qualified third-party custodians such as LPL Financial and Charles Schwab. GSWM does not charge performance-based fees and acts in the best interests of clients. The firm may compensate solicitors for client referrals and allows client-directed brokerage. Testimonials are allowed under specific requirements, and the firm has procedures in place to monitor compliance. GSWM does not have custody over clients' assets and does not accept prepayment of fees exceeding $1,200. In the event of trade errors, corrective measures are promptly initiated to protect client interests.