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Registration History
19952000200520102015202020252 FIRMS2012 - Present (12 years)IALPL FINANCIAL LLC (CRD# 6413)2015 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2012 (12 years)BPIPER JAFFRAY INC. (CRD# 665)1994 - 1999 (5 years)IALPL FINANCIAL LLC (CRD# 6413)2012 - 2014 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2012 (7 years)
Disclosure(s)
View By:
8/11/2015
Regulatory
Final
5/2/2011
Regulatory
Final
License(s)

State Registrations

B
Arizona 7/30/2012

B
Ohio 5/22/2014

B
California 5/30/2012

B
South Dakota 5/30/2012

B
Colorado 2/9/2017

B
Texas 5/30/2012

B
Florida 7/11/2012

IA
Texas 7/9/2012

B
Illinois 5/30/2012

B
Utah 5/30/2012

B
Iowa 5/30/2012

B
Virginia 5/30/2012

B
Minnesota 5/30/2012

B
Washington 10/17/2012

IA
Minnesota 12/9/2013

B
West Virginia 6/12/2012

B
Montana 9/7/2018

B
Wisconsin 7/11/2012

B
North Dakota 5/30/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
510 22ND AVE E, SUITE 202B, ALEXANDRIA, MN 56308
Registered with this firm since 9/10/2015

IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
510 22ND AVE. EAST SUITE 202, ALEXANDRIA, MN 56308
Registered with this firm since 7/9/2012

B
LPL FINANCIAL LLC (CRD#:6413)
510 22ND AVE E, SUITE 202B, ALEXANDRIA, MN 56308
Registered with this firm since 5/30/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/06/2012 - 09/30/2014 LPL FINANCIAL LLC (CRD#:6413) ALEXANDRIA, MN
IA
10/20/2004 - 05/31/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALEXANDRIA, MN
B
07/16/1999 - 05/31/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALEXANDRIA, MN
B
07/21/1994 - 07/27/1999 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
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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.