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Registration History
199019952000200520102015202020252 FIRMS2008 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2008 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1999 - 2005 (6 years)BSII INVESTMENTS, INC. (CRD# 2225)1996 - 1999 (2 years)BWMA SECURITIES, INC. (CRD# 32625)1996 - 1996 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1989 - 1994 (4 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1989 - 1993 (4 years)
Disclosure(s)
View By:
4/6/2020
Criminal
Final Disposition
1/19/2006
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 2/14/2018

B
Missouri 2/14/2018

B
Arizona 2/14/2018

B
New Jersey 2/14/2018

B
California 2/14/2018

B
North Carolina 2/14/2018

B
Colorado 7/24/2020

B
North Dakota 11/20/2023

B
Florida 2/15/2018

B
South Carolina 11/21/2024

IA
Florida 11/14/2022

B
Tennessee 6/22/2021

B
Georgia 2/14/2018

B
Texas 2/14/2018

B
Illinois 2/14/2018

IA
Texas 2/14/2018

B
Indiana 2/14/2018

B
Virginia 8/20/2022

B
Iowa 2/14/2018

B
Wisconsin 2/14/2018

B
Kansas 2/8/2024

IA
Wisconsin 2/14/2018

B
Minnesota 2/14/2018

B
Wyoming 1/3/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
W6110 AEROTECH DR, STE B, APPLETON, WI 54914
BOCA RATON, FL
Registered with this firm since 2/14/2018

B
LPL FINANCIAL LLC (CRD#:6413)
W6110 AEROTECH DR, STE B, APPLETON, WI 54914
BOCA RATON, FL
Registered with this firm since 2/14/2018

Previous Registration(s)
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IA
10/14/2008 - 02/16/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
10/14/2008 - 02/14/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
10/31/2005 - 10/15/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) APPLETON, WI
B
10/04/1999 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
12/12/1996 - 10/07/1999 SII INVESTMENTS, INC. (CRD#:2225) APPLETON, WI
B
02/16/1996 - 12/31/1996 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
B
08/28/1989 - 05/16/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
08/28/1989 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
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.