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Registration History
1996199820002002200420062008201020122014201620182020202220242 FIRMS2005 - 2011 (5 years)2 FIRMS2011 - Present (13 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1996 - 2005 (9 years)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2004 - 2005 (<1 year)
Disclosure(s)
View By:
3/15/2007
Customer Dispute
Closed-No Action
4/25/2005
Customer Dispute
Denied
6/24/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Nebraska 3/14/2024

IA
Texas 3/25/2011

B
Texas 3/25/2011

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
COLLEYVILLE, TX
Registered with this firm since 3/25/2011

B
LPL FINANCIAL LLC (CRD#:6413)
COLLEYVILLE, TX
Registered with this firm since 3/25/2011

Previous Registration(s)
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IA
07/06/2005 - 03/28/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) IRVING, TX
B
07/06/2005 - 03/28/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) IRVING, TX
IA
12/17/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) IRVING, TX
B
02/02/1996 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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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.