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Registration History
199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS2008 - 2017 (9 years)2 FIRMS2017 - Present (7 years)BSECURITIES AMERICA, INC. (CRD# 10205)1999 - 2008 (8 years)BTHE ADVISORS GROUP, INC. (CRD# 14035)1999 - 1999 (<1 year)BMTL EQUITY PRODUCTS, INC. (CRD# 15764)1997 - 1999 (2 years)BFRANKLIN FINANCIAL SERVICES CO... (CRD# 5435)1990 - 1997 (7 years)
Disclosure(s)
View By:
8/19/1996
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/1/2024

IA
New Jersey 11/29/2017

B
Arizona 11/29/2017

B
New Mexico 11/29/2017

B
California 11/29/2017

B
New York 11/29/2017

B
Delaware 11/29/2017

B
North Carolina 11/29/2017

IA
Delaware 11/29/2017

B
Ohio 11/29/2017

B
Florida 11/30/2017

B
Oregon 11/29/2017

B
Georgia 11/29/2017

B
Pennsylvania 11/29/2017

B
Illinois 11/29/2017

IA
Pennsylvania 11/29/2017

B
Indiana 11/29/2017

B
Rhode Island 11/29/2017

B
Kentucky 11/29/2017

IA
Rhode Island 11/29/2017

B
Louisiana 7/25/2022

B
South Carolina 11/29/2017

B
Maine 11/29/2017

B
Tennessee 2/24/2021

B
Maryland 11/29/2017

B
Texas 11/29/2017

IA
Maryland 11/29/2017

IA
Texas 3/22/2021

B
Minnesota 11/29/2017

B
Utah 1/3/2024

B
Missouri 12/17/2020

B
Virginia 11/29/2017

B
Montana 7/2/2019

IA
Virginia 11/29/2017

B
Nevada 4/30/2021

B
West Virginia 6/24/2024

B
New Hampshire 11/29/2017

B
Wisconsin 10/28/2021

B
New Jersey 11/29/2017

B
Wyoming 11/29/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL FINANCIAL LLC (CRD#:6413)
331 RUTH RD, HARLEYSVILLE, PA 19438
165 MAIN ST, SUITE 300, HARLEYSVILLE, PA 19438
Registered with this firm since 11/29/2017

IA
LPL FINANCIAL LLC (CRD#:6413)
331 RUTH RD, HARLEYSVILLE, PA 19438
165 MAIN ST, SUITE 300, HARLEYSVILLE, PA 19438
Registered with this firm since 11/29/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/07/2008 - 12/06/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) HARLEYSVILLE, PA
B
03/12/2008 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) HARLEYSVILLE, PA
B
10/13/1999 - 03/17/2008 SECURITIES AMERICA, INC. (CRD#:10205) PLYMOUTH MEETING, PA
B
06/03/1999 - 10/25/1999 THE ADVISORS GROUP, INC. (CRD#:14035) BETHESDA, MD
B
05/29/1997 - 05/26/1999 MTL EQUITY PRODUCTS, INC. (CRD#:15764) FOUNTAIN HILLS, AZ
B
04/04/1990 - 04/18/1997 FRANKLIN FINANCIAL SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
B
03/15/1989 - 10/13/1989 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
03/15/1989 - 10/13/1989 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
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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.