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Registration History
197019751980198519901995200020052010201520202025IAINSURANCE & WEALTH ADVISORS, LLC. (CRD# 301528)2019 - Present (5 years)BWFG INVESTMENTS, INC. (CRD# 22704)2011 - 2016 (5 years)BFOOTHILL SECURITIES, INC. (CRD# 1027)2009 - 2011 (2 years)BCUE FINANCIAL GROUP, INC. (CRD# 21033)2003 - 2009 (6 years)BAMERICAN PORTFOLIOS FINANCIAL ... (CRD# 18487)2001 - 2003 (1 year)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1998 - 2001 (3 years)BFOX & COMPANY INVESTMENTS INC. (CRD# 18517)1995 - 1998 (3 years)BJOSEPH CHARLES & ASSOC., INC. (CRD# 3949)1994 - 1995 (1 year)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)1993 - 1993 (<1 year)IATREE LINE CAPITAL, LLC (CRD# 282456)2019 - 2019 (<1 year)IATREE LINE CAPITAL, LLC (CRD# 282456)2018 - 2018 (<1 year)IATREE LINE CAPITAL, LLC (CRD# 282456)2017 - 2017 (<1 year)IAWFG ADVISORS, LP (CRD# 125073)2012 - 2016 (4 years)IACUE FINANCIAL GROUP, INC. (CRD# 21033)2003 - 2011 (8 years)
Disclosure(s)
View By:
12/12/2001
Customer Dispute
Settled
7/16/1970
Criminal
Final Disposition
License(s)

State Registrations

IA
Arizona 6/12/2020

Current Registration(s)
IA
INSURANCE & WEALTH ADVISORS, LLC. (CRD#:301528)
COOLIDGE, AZ
Registered with this firm since 4/9/2019

Previous Registration(s)
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01/11/2019 - 04/15/2019 TREE LINE CAPITAL, LLC (CRD#:282456) OKLAHOMA CITY, OK
IA
02/15/2018 - 12/31/2018 TREE LINE CAPITAL, LLC (CRD#:282456) OKLAHOMA CITY, OK
IA
01/04/2017 - 12/31/2017 TREE LINE CAPITAL, LLC (CRD#:282456) OKLAHOMA CITY, OK
IA
02/27/2012 - 12/31/2016 WFG ADVISORS, LP (CRD#:125073) EDMOND, OK
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09/29/2011 - 12/31/2016 WFG INVESTMENTS, INC. (CRD#:22704) Edmond, OK
IA
08/01/2003 - 09/29/2011 CUE FINANCIAL GROUP, INC. (CRD#:21033) PHOENIX, AZ
B
08/03/2009 - 09/29/2011 FOOTHILL SECURITIES, INC. (CRD#:1027) PHOENIX, AZ
B
07/23/2003 - 08/03/2009 CUE FINANCIAL GROUP, INC. (CRD#:21033) PHOENIX, AZ
B
12/03/2001 - 07/23/2003 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) HOLBROOK, NY
B
11/09/1998 - 12/06/2001 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) NEW YORK, NY
B
07/31/1995 - 11/04/1998 FOX & COMPANY INVESTMENTS INC. (CRD#:18517)
FINRA expelled the firm on 05/14/2009
SCOTTSDALE, AZ
B
07/01/1994 - 08/15/1995 JOSEPH CHARLES & ASSOC., INC. (CRD#:3949) BOCA RATON, FL
B
07/23/1993 - 12/09/1993 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
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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.