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Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2019 (6 years)IATACTIVEST, LLC (CRD# 173309)2019 - Present (5 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2002 - 2004 (1 year)BCAL FED INVESTMENTS (CRD# 19631)2003 - 2003 (<1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)1999 - 2002 (3 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1997 - 1998 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1997 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2004 (1 year)
Disclosure(s)
View By:
8/28/2019
Employment Separation After Allegations
4/4/2018
Judgment / Lien
3/24/2017
Judgment / Lien
10/27/2009
Customer Dispute
Denied
8/20/2004
Customer Dispute
Denied
5/6/2004
Customer Dispute
Settled
6/15/2001
Customer Dispute
Award / Judgment
License(s)

State Registrations

IA
California 9/13/2019

IA
Texas 3/6/2023

Current Registration(s)
IA
TACTIVEST, LLC (CRD#:173309)
SAN FRANCISCO, CA
9595 WILSHIRE BLVD SUITE 900, BEVERLY HILLS, CA 90212
Registered with this firm since 9/13/2019

Previous Registration(s)
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IA
10/05/2012 - 09/03/2019 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BEVERLY HILLS, CA
B
10/05/2012 - 09/03/2019 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BEVERLY HILLS, CA
IA
10/30/2009 - 09/14/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
10/30/2009 - 09/14/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
IA
05/20/2004 - 11/05/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
05/20/2004 - 11/05/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
IA
01/27/2003 - 04/27/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LOS ANGELES, CA
B
12/18/2002 - 04/27/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
01/08/2003 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
01/19/1999 - 12/10/2002 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
10/02/1997 - 10/30/1998 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
01/07/1997 - 08/15/1997 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.