Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202 FIRMS2014 - 2015 (1 year)BFIVE 9 SECURITIES, LLC (CRD# 114853)2018 - 2020 (1 year)BFIVE 9 SECURITIES, LLC (CRD# 114853)2015 - 2016 (1 year)BDINOSAUR SECURITIES, L.L.C. (CRD# 104446)2013 - 2014 (1 year)BFIRST LIBERTIES FINANCIAL (CRD# 14432)2012 - 2013 (<1 year)BASCENDIANT SECURITIES, LLC (CRD# 129236)2011 - 2012 (1 year)BT.R. WINSTON & COMPANY, LLC (CRD# 10571)2010 - 2011 (<1 year)BBEAR, STEARNS & CO. INC. (CRD# 79)2001 - 2001 (<1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)1998 - 2001 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1998 (2 years)IADIAMOND PORTFOLIO ADVISORS, LLC (CRD# 115749)2004 - 2009 (5 years)
Disclosure(s)
View By:
6/21/2002
Customer Dispute
Pending
2/15/2001
Employment Separation After Allegations
1/4/2001
Customer Dispute
Award / Judgment
License(s)

State Registrations

IA
California 3/16/2010
Previous Registration(s)
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 08/14/2018 - 01/02/2020 FIVE 9 SECURITIES, LLC (CRD#:114853) Ladera Ranch, CA
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 12/17/2015 - 12/01/2016 FIVE 9 SECURITIES, LLC (CRD#:114853) LADERA RANCH, CA
IA
 10/07/2014 - 12/16/2015 EQUINOX SECURITIES, INC. (CRD#:145790) Irvine, CA
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 10/07/2014 - 12/16/2015 EQUINOX SECURITIES, INC. (CRD#:145790)
FINRA expelled the firm on 05/11/2016
Irvine, CA
B
 05/08/2013 - 09/18/2014 DINOSAUR SECURITIES, L.L.C. (CRD#:104446) NEWPORT BEACH, CA
B
 12/05/2012 - 04/16/2013 FIRST LIBERTIES FINANCIAL (CRD#:14432) DALLAS, TX
B
 08/02/2011 - 08/31/2012 ASCENDIANT SECURITIES, LLC (CRD#:129236) JUPITER, FL
B
 10/14/2010 - 07/01/2011 T.R. WINSTON & COMPANY, LLC (CRD#:10571) BEDMINSTER, NJ
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 01/30/2004 - 11/23/2009 DIAMOND PORTFOLIO ADVISORS, LLC (CRD#:115749) LOS ANGELES, CA
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 03/06/2001 - 07/17/2001 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
 03/09/1998 - 03/16/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 12/18/1995 - 01/21/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.