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Registration History
19952000200520102015202020252 FIRMS1995 - Present (29 years)BSMITH BARNEY INC. (CRD# 7059)1994 - 1995 (1 year)
Disclosure(s)
View By:
1/11/2023
Financial
Final
1/11/2023
Financial
Final
1/6/2023
Financial
Final
9/7/2022
Financial
Final
4/26/2022
Financial
Final
8/25/2021
Financial
Final
9/11/2020
Financial
Final
9/1/2020
Financial
Final
8/26/2020
Financial
Final
License(s)

State Registrations

B
Connecticut 1/6/2010

B
New York 7/7/1995

B
Florida 7/7/1995

IA
New York 8/3/2021

B
Georgia 5/15/2023

B
Pennsylvania 6/5/1996

B
Massachusetts 7/7/1995

B
Rhode Island 3/14/2011

B
Missouri 7/20/2010

B
South Carolina 1/24/2018

B
New Jersey 5/12/2023

B
Washington 10/30/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
NEW PALTZ, NY
Registered with this firm since 7/7/1995

B
LPL FINANCIAL LLC (CRD#:6413)
NEW PALTZ, NY
Registered with this firm since 7/7/1995

Previous Registration(s)
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B
01/13/1994 - 07/27/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.