Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2016 (5 years)2 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (4 years)BUNITED BROKERAGE SERVICES, INC (CRD# 39062)2001 - 2010 (8 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2000 - 2001 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 2000 (4 years)IAUNITED BROKERAGE SERVICES INC (CRD# 39062)2006 - 2010 (3 years)
Disclosure(s)
View By:
4/10/2001
Customer Dispute
Denied
12/1/2000
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 12/1/2022
B
South Carolina 3/10/2021
B
Florida 3/10/2021
B
Tennessee 3/10/2021
B
Kentucky 3/10/2021
B
Texas 3/10/2021
B
Michigan 11/8/2021
IA
Texas 3/10/2021
B
North Carolina 3/15/2021
B
Virginia 4/12/2021
B
Ohio 3/10/2021
B
West Virginia 3/10/2021
B
Pennsylvania 3/10/2021
IA
West Virginia 3/15/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
2001 MAIN ST STE 402, WHEELING, WV 26003
Registered with this firm since 3/10/2021
B
LPL FINANCIAL LLC (CRD#:6413)
2001 MAIN ST STE 402, WHEELING, WV 26003
Registered with this firm since 3/10/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2016 - 03/12/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WHEELING, WV
B
 01/25/2016 - 03/12/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WHEELING, WV
IA
 03/25/2010 - 01/27/2016 NFP ADVISOR SERVICES, LLC (CRD#:42046) WHEELING, WV
B
 03/18/2010 - 01/27/2016 NFP ADVISOR SERVICES, LLC (CRD#:42046) WHEELING, WV
IA
 08/02/2006 - 01/15/2010 UNITED BROKERAGE SERVICES INC (CRD#:39062) WHEELING, WV
B
 03/13/2001 - 01/15/2010 UNITED BROKERAGE SERVICES, INC (CRD#:39062) WHEELING, WV
B
 07/06/2000 - 03/29/2001 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 03/06/1996 - 07/06/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.