Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
19952000200520102015202020253 FIRMS2006 - 2009 (2 years)2 FIRMS2010 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2004 - 2006 (1 year)BNYLIFE SECURITIES INC. (CRD# 5167)1991 - 1992 (1 year)
Disclosure(s)
View By:
5/15/2008
Customer Dispute
Closed-No Action
3/7/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 1/19/2023
B
North Carolina 9/3/2020
B
Florida 9/3/2020
B
Texas 9/3/2020
B
Louisiana 9/3/2020
IA
Texas 9/3/2020
B
New Jersey 3/13/2024
B
Washington 9/3/2020

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)
DRIPPING SPRINGS, TX
Registered with this firm since 9/3/2020
B
LPL FINANCIAL LLC (CRD#:6413)
DRIPPING SPRINGS, TX
Registered with this firm since 9/3/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/21/2010 - 09/10/2020 WADDELL & REED (CRD#:866) AUSTIN, TX
B
 06/14/2010 - 09/10/2020 WADDELL & REED (CRD#:866) AUSTIN, TX
IA
 10/05/2006 - 02/24/2009 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) FORT WORTH, TX
IA
 10/05/2006 - 02/24/2009 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
B
 08/23/2006 - 02/24/2009 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
B
 08/20/2004 - 05/03/2006 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) SOUTHLAKE, TX
B
 04/29/1991 - 06/19/1992 NYLIFE SECURITIES INC. (CRD#:5167)
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.