Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS1999 - 2002 (3 years)2 FIRMS2005 - 2018 (13 years)IAADVISORY SERVICES NETWORK (CRD# 146051)2019 - Present (6 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2002 - 2005 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1999 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1994 (6 years)IASUMMIT WEALTH STRATEGIES (CRD# 282502)2019 - 2019 (<1 year)IAPILLAR CAPITAL MANAGEMENT, LLC (CRD# 150568)2009 - 2012 (2 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2003 - 2005 (2 years)
Disclosure(s)
View By:
1/13/2006
Customer Dispute
Denied
8/20/1999
Customer Dispute
Settled
8/20/1999
Customer Dispute
Settled
11/28/1994
Customer Dispute
Settled
License(s)

State Registrations

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Texas 1/11/2019
Current Registration(s)
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ADVISORY SERVICES NETWORK (CRD#:146051)
1171 CR 4195, Seymour, TX 76380
Registered with this firm since 1/11/2019
Previous Registration(s)
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 01/02/2019 - 01/07/2019 SUMMIT WEALTH STRATEGIES (CRD#:282502) Lubbock, TX
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 06/09/2005 - 12/31/2018 PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740) LUBBOCK, TX
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 05/16/2005 - 12/31/2018 PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740) LUBBOCK, TX
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 11/13/2009 - 07/24/2012 PILLAR CAPITAL MANAGEMENT, LLC (CRD#:150568) LUBBOCK, TX
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 01/14/2003 - 05/17/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) LUBBOCK, TX
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 12/20/2002 - 05/17/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
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 07/27/1999 - 12/20/2002 MORGAN STANLEY (CRD#:7556) DENVER, CO
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 07/26/1999 - 12/20/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/20/1994 - 07/21/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 05/25/1988 - 05/03/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.