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Registration History
19952000200520102015202020252 FIRMS2005 - 2021 (16 years)2 FIRMS2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2005 (5 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1994 - 1999 (5 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1994 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2005 (2 years)
Disclosure(s)
View By:
10/8/2024
Customer Dispute
Denied
3/9/2021
Customer Dispute
Closed-No Action
7/28/2016
Customer Dispute
Denied
License(s)

State Registrations

B
California 12/15/2021

IA
New Jersey 12/21/2021

B
Connecticut 12/15/2021

B
New York 12/15/2021

B
Delaware 2/1/2022

B
North Carolina 1/11/2022

B
Florida 12/15/2021

B
Pennsylvania 5/26/2022

B
Georgia 3/31/2022

B
South Carolina 12/15/2021

B
Maryland 1/3/2022

B
Texas 1/3/2022

B
Massachusetts 6/29/2022

B
Vermont 11/14/2022

B
Michigan 1/27/2022

B
Virginia 12/15/2021

B
Nebraska 3/31/2022

B
Washington 12/15/2021

B
New Jersey 12/15/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
183 OLD TAPPAN ROAD, OLD TAPPAN, NJ 07675
183 OLD TAPPAN ROAD, OLD TAPPAN, NJ 07675
Registered with this firm since 12/21/2021

B
LPL FINANCIAL LLC (CRD#:6413)
183 OLD TAPPAN ROAD, OLD TAPPAN, NJ 07675
183 OLD TAPPAN ROAD, OLD TAPPAN, NJ 07675
Registered with this firm since 12/15/2021

Previous Registration(s)
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IA
04/11/2005 - 12/17/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) OLD TAPPAN, NJ
B
03/04/2005 - 12/17/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) OLD TAPPAN, NJ
IA
06/20/2002 - 03/24/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) HACKENSACK, NJ
B
11/05/1999 - 03/24/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
10/06/1994 - 11/10/1999 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
08/06/1992 - 10/06/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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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.