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LW

Lea L. Wiviott Boracchia

BORACCHIA WIVIOTT WEALTH PARTNERS LLC
Palm Desert, CA 92260
Some features on this profile are disabled
CRD#: 6232177
LW

Professional summary

Lea L Wiviott Boracchia, who also goes by Lea L Wiviott, is a registered financial advisor currently at BORACCHIA WIVIOTT WEALTH PARTNERS LLC located in Palm Desert, California.

Lea is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Lea has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lea L Wiviott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Lea Wiviott Boracchia is a licensed insurance agent. From time to time, she will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Boracchia Wiviott Wealth Partners LLC always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Boracchia Wiviott Wealth Partners LLC in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lea L Wiviott Boracchia's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 5, 2017 - Present

BORACCHIA WIVIOTT WEALTH PARTNERS LLC

Office #1: 74710 Highway 111 Ste 102, Palm Desert, CA 92260
RIA
CRD#: 287877
Palm Desert, CA
Past

November 15, 2013 - January 13, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(7/5/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/26/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/27/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BW
BORACCHIA WIVIOTT WEALTH PARTNERS LLC
BORACCHIA WIVIOTT INSURANCE SERVICES | BWWP, LLC | BORACCHIA WIVIOTT WEALTH PARTNERS LLC

CRD#: 287877 / SEC#:

California
Registered Investment Advisory firm - (6/6/2017 Approved)
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Contact information

Main Address
74710 Highway 111 Ste 102, Palm Desert, CA 92260
Mailing Address
74710 Highway 111 Ste 102, Palm Desert, CA 92260
Phone number
(424) 625-8943
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts25
AUM (Assets Under Management)$ 22,500,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BORACCHIA WIVIOTT WEALTH PARTNERS LLC

CRD#: 287877Palm Desert, CA 92260

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