• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Registration History
19952000200520102015202020252 FIRMS2007 - Present (17 years)BPRUCO SECURITIES, LLC. (CRD# 5685)1995 - 2007 (12 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2001 - 2007 (6 years)
Disclosure(s)
View By:
6/4/2020
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/12/2012

B
North Carolina 8/13/2010

B
Arizona 12/18/2014

B
Ohio 7/23/2007

B
California 2/28/2013

IA
Ohio 7/24/2007

B
Colorado 5/24/2017

B
Pennsylvania 3/2/2016

B
Florida 7/23/2007

B
South Carolina 11/27/2019

B
Georgia 9/25/2015

B
Texas 11/29/2021

B
Illinois 4/30/2012

IA
Texas 2/20/2024

B
Indiana 7/23/2007

B
Virginia 5/1/2015

B
Michigan 4/10/2008

B
Wisconsin 9/18/2007

B
Minnesota 7/5/2016

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
300 W MAIN CROSS ST, FINDLAY, OH 45840
Registered with this firm since 7/24/2007

B
LPL FINANCIAL LLC (CRD#:6413)
300 W MAIN CROSS ST, FINDLAY, OH 45840
Registered with this firm since 7/23/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/14/2001 - 07/24/2007 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) FINDLAY, OH
B
05/23/1995 - 07/24/2007 PRUCO SECURITIES, LLC. (CRD#:5685) FINDLAY, OH
For additional information about investment advisers or broker-dealers, please visit
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.