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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2000 - Present (25 years)BREPUBLIC FINANCIAL SERVICES CO... (CRD# 38293)1999 - 1999 (<1 year)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1997 - 1999 (1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1996 - 1997 (1 year)BFORTIS INVESTORS, INC. (CRD# 421)1990 - 1996 (6 years)
Disclosure(s)
View By:
5/28/2002
Customer Dispute
Denied
10/15/1998
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/22/2011
B
Nevada 9/19/2019
B
California 2/2/2000
B
New Jersey 11/5/2013
IA
California 2/22/2000
B
New York 4/7/2000
B
Colorado 1/4/2017
B
North Carolina 6/23/2011
B
District of Columbia 6/22/2011
B
Ohio 9/2/2015
B
Florida 3/1/2016
B
Oregon 6/22/2011
B
Georgia 8/4/2022
B
Pennsylvania 1/11/2022
B
Hawaii 9/6/2011
B
Tennessee 9/23/2022
B
Illinois 11/9/2017
B
Texas 8/28/2015
B
Indiana 6/11/2020
IA
Texas 8/31/2015
B
Maine 6/22/2011
B
Utah 4/25/2022
B
Massachusetts 3/28/2025
B
Virginia 6/22/2011
B
Missouri 1/11/2017
B
Washington 2/28/2025

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)
680 E COLORADO BLVD. SUITE 180, PASADENA, CA 91101
Registered with this firm since 2/22/2000
B
LPL FINANCIAL LLC (CRD#:6413)
680 E COLORADO BLVD. SUITE 180, PASADENA, CA 91101
Registered with this firm since 2/2/2000
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/24/1999 - 12/22/1999 REPUBLIC FINANCIAL SERVICES CORPORATION (CRD#:38293) NEW YORK, NY
B
 11/19/1997 - 07/16/1999 THE DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
 04/23/1996 - 11/28/1997 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
B
 03/28/1990 - 03/08/1996 FORTIS INVESTORS, INC. (CRD#:421) OAKDALE, MN
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.