Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
199019952000200520102015202020252 FIRMS1988 - 1998 (9 years)2 FIRMS2001 - 2002 (1 year)2 FIRMS2002 - 2004 (1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BE*TRADE SECURITIES LLC (CRD# 29106)2004 - 2009 (5 years)BEDWARD JONES (CRD# 250)2000 - 2001 (1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)1998 - 2000 (1 year)BSENTRA SECURITIES CORPORATION (CRD# 10249)1998 - 1998 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1987 - 1989 (2 years)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2006 - 2009 (2 years)
Disclosure(s)
View By:
11/17/2015
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/23/2015
IA
Texas 7/23/2015
IA
California 7/23/2015
B
Texas 7/24/2015
B
Nevada 10/8/2019
B
Washington 1/22/2018
B
Ohio 11/21/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
LA JOLLA, CA
Registered with this firm since 7/23/2015
B
LPL FINANCIAL LLC (CRD#:6413)
LA JOLLA, CA
Registered with this firm since 7/23/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/01/2012 - 08/17/2015 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 09/28/2012 - 08/17/2015 E*TRADE SECURITIES LLC (CRD#:29106) CUPERTINO, CA
IA
 05/03/2010 - 10/16/2012 LPL FINANCIAL LLC (CRD#:6413) LA JOLLA, CA
B
 05/03/2010 - 10/16/2012 LPL FINANCIAL LLC (CRD#:6413) LA JOLLA, CA
IA
 09/22/2009 - 05/11/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) RANCHO SANTA FE, CA
B
 09/23/2009 - 05/11/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) RANCHO SANTA FE, CA
IA
 09/27/2006 - 08/11/2009 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 01/22/2004 - 08/11/2009 E*TRADE SECURITIES LLC (CRD#:29106) SAN DIEGO, CA
IA
 10/14/2002 - 01/02/2004 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SAN DIEGO , CA
B
 10/02/2002 - 01/02/2004 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
IA
 11/08/2001 - 10/10/2002 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) SAN DIEGO, CA
B
 08/17/2001 - 10/10/2002 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
 06/28/2000 - 08/16/2001 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
 07/20/1998 - 06/28/2000 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
 02/27/1998 - 07/17/1998 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
B
 11/18/1988 - 03/04/1998 NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (CRD#:2881) MILWAUKEE, WI
B
 11/18/1988 - 03/04/1998 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 01/14/1987 - 02/08/1989 PRUCO SECURITIES CORPORATION (CRD#:5685)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.