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Registration History
19952000200520102015202020252 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2020 (3 years)2 FIRMS2020 - 2023 (2 years)IAREGATTA FINANCIAL LLC (CRD# 333067)2025 - Present (<1 year)BH. BECK, INC. (CRD# 1763)2001 - 2004 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2001 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1996 - 1999 (3 years)BCHEVY CHASE SECURITIES, INC. (CRD# 14894)1994 - 1995 (<1 year)BW. S. GRIFFITH & CO., INC. (CRD# 10410)1992 - 1994 (2 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1992 - 1992 (<1 year)IAREGATTA FINANCIAL LLC (CRD# 333067)2024 - 2024 (<1 year)
Disclosure(s)
View By:
5/10/2000
Customer Dispute
Denied
License(s)

State Registrations

IA
Maryland 1/10/2025

Current Registration(s)
IA
REGATTA FINANCIAL LLC (CRD#:333067)
GAITHERSBURG, MD
Registered with this firm since 1/10/2025

Previous Registration(s)
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IA
10/11/2024 - 12/31/2024 REGATTA FINANCIAL LLC (CRD#:333067) GAITHERSBURG, MD
IA
10/13/2020 - 05/09/2023 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) ROCKVILLE, MD
B
09/14/2020 - 05/09/2023 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) ROCKVILLE, MD
IA
08/16/2017 - 08/18/2020 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Gaithersburg, MD
B
08/16/2017 - 08/18/2020 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Gaithersburg, MD
IA
11/12/2015 - 07/05/2017 H. BECK, INC. (CRD#:1763) MARRIOTTSVILLE, MD
B
11/12/2015 - 07/05/2017 H. BECK, INC. (CRD#:1763) MARRIOTTSVILLE, MD
IA
12/23/2014 - 07/14/2015 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Bethesda, MD
B
12/10/2014 - 07/14/2015 PRUCO SECURITIES, LLC. (CRD#:5685) Bethesda, MD
IA
10/01/2012 - 11/01/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
08/10/2012 - 11/01/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
03/07/2001 - 12/31/2004 H. BECK, INC. (CRD#:1763) ROCKVILLE, MD
B
10/28/1999 - 03/07/2001 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
03/14/1996 - 10/29/1999 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
11/09/1994 - 06/09/1995 CHEVY CHASE SECURITIES, INC. (CRD#:14894) BETHESDA, MD
B
10/19/1992 - 11/03/1994 W. S. GRIFFITH & CO., INC. (CRD#:10410) HARTFORD, CT
B
07/29/1992 - 09/24/1992 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
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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.