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Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2008 (8 years)2 FIRMS2008 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2000 (3 years)
Disclosure(s)
View By:
8/19/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/5/2020

B
Texas 12/12/2008

B
California 12/12/2008

IA
Texas 3/1/2013

B
Oklahoma 12/12/2008

B
Washington 12/12/2008

IA
Oklahoma 12/12/2008

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
BROKEN ARROW, OK
Registered with this firm since 12/12/2008

B
LPL FINANCIAL LLC (CRD#:6413)
BROKEN ARROW, OK
Registered with this firm since 12/12/2008

Previous Registration(s)
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IA
04/25/2000 - 12/15/2008 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) TULSA, OK
B
02/04/2000 - 12/15/2008 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) TULSA, OK
B
09/05/1996 - 02/10/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, 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.