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Registration History
198519901995200020052010201520202025IALPL FINANCIAL LLC (CRD# 6413)2004 - Present (21 years)BLPL FINANCIAL LLC (CRD# 6413)2003 - Present (21 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)1999 - 2003 (4 years)BDAIN RAUSCHER INCORPORATED (CRD# 31194)1998 - 1999 (1 year)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1997 - 1998 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1985 - 1997 (11 years)
Disclosure(s)
View By:
5/19/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/12/2006

B
Nevada 1/17/2012

B
California 10/27/2003

B
Oregon 7/8/2010

B
Florida 6/29/2011

IA
Texas 7/16/2019

B
Hawaii 12/24/2008

B
Texas 7/23/2019

B
Idaho 12/8/2011

B
Utah 10/27/2003

B
Maine 10/1/2019

IA
Utah 2/26/2004

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
BOUNTIFUL, UT
Registered with this firm since 2/26/2004

B
LPL FINANCIAL LLC (CRD#:6413)
BOUNTIFUL, UT
Registered with this firm since 10/27/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/16/1999 - 11/10/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
03/02/1998 - 11/16/1999 DAIN RAUSCHER INCORPORATED (CRD#:31194) NEW YORK, NY
B
03/05/1997 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
B
09/25/1985 - 03/25/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.