Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
199019952000200520102015202020253 FIRMS1988 - 1988 (<1 year)2 FIRMS1992 - 1992 (<1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2011 (<1 year)IAUNITED ADVISORS AMERICA (CRD# 147350)2019 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2011 - 2017 (5 years)BSCOTTRADE, INC. (CRD# 8206)1999 - 2001 (1 year)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1994 - 1998 (4 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)1989 - 1990 (1 year)IALEVEL FOUR ADVISORY SERVICES (CRD# 134086)2014 - 2017 (2 years)IALPL FINANCIAL LLC (CRD# 6413)2011 - 2015 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2011 - 2011 (<1 year)IAFISHER INVESTMENTS (CRD# 107342)2001 - 2005 (4 years)
Disclosure(s)
View By:
7/22/2014
Judgment / Lien
License(s)

State Registrations

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Texas 6/20/2019
Current Registration(s)
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UNITED ADVISORS AMERICA (CRD#:147350)
Fulshear, TX
Registered with this firm since 6/20/2019
Previous Registration(s)
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 03/01/2011 - 02/22/2017 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
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 10/31/2014 - 02/08/2017 LEVEL FOUR ADVISORY SERVICES (CRD#:134086) HOUSTON, TX
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 03/07/2011 - 11/02/2015 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
 03/01/2011 - 03/02/2011 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
 08/05/2010 - 03/02/2011 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) PEARLAND, TX
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 08/05/2010 - 03/02/2011 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) PEARLAND, TX
IA
 04/09/2009 - 05/03/2010 LEVEL FOUR ADVISORY SERVICES (CRD#:134086) KATY, TX
B
 04/03/2009 - 05/03/2010 LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870) KATY, TX
IA
 02/07/2006 - 04/02/2009 ZACKS INVESTMENT MANAGEMENT, INC. (CRD#:110897) CHICAGO, IL
B
 04/06/2006 - 04/02/2009 ZACKS & COMPANY (CRD#:7874) CHICAGO, IL
IA
 07/02/2001 - 12/14/2005 FISHER INVESTMENTS (CRD#:107342) KATY, TX
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 06/25/1999 - 03/07/2001 SCOTTRADE, INC. (CRD#:8206) ST. LOUIS, MO
B
 02/08/1994 - 08/19/1998 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
B
 05/12/1992 - 09/14/1992 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 05/12/1992 - 09/14/1992 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 12/05/1989 - 12/31/1990 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
B
 09/15/1988 - 12/13/1988 THE INVESTMENT CENTER, INC. (CRD#:17839)
B
 05/13/1988 - 09/19/1988 INDEPENDENT INVESTMENT BROKERS OF AMERICA (CRD#:20635)
B
 02/23/1988 - 04/16/1988 CAPITAL FIRST SECURITIES, INC. (CRD#:16429)
FINRA expelled the firm on 03/16/1990
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.