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Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - Present (10 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2003 - 2004 (<1 year)BCAL FED INVESTMENTS (CRD# 19631)2002 - 2003 (<1 year)BFINANCIAL WEST GROUP (CRD# 16668)2002 - 2002 (<1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1998 - 2002 (3 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1997 - 1998 (<1 year)
Disclosure(s)
View By:
10/19/2011
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 2/4/2015

B
North Carolina 10/1/2019

B
California 12/17/2014

B
Ohio 1/6/2021

IA
California 12/17/2014

B
Oregon 3/16/2021

B
Colorado 5/3/2022

B
South Carolina 1/12/2021

B
Idaho 1/8/2020

B
Texas 5/3/2022

B
Nebraska 5/26/2016

B
Utah 10/12/2016

B
Nevada 6/2/2016

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CUSO FINANCIAL SERVICES, L.P. (CRD#:42132)
3451 14TH STREET, RIVERSIDE, CA 92501
6403 RIVERSIDE AVENUE, RIVERSIDE, CA 92506
Registered with this firm since 12/17/2014

B
CUSO FINANCIAL SERVICES, L.P. (CRD#:42132)
3451 14TH STREET, RIVERSIDE, CA 92501
6403 RIVERSIDE AVENUE, RIVERSIDE, CA 92506
Registered with this firm since 12/17/2014

Previous Registration(s)
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IA
11/08/2011 - 12/19/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) UPLAND, CA
B
11/04/2011 - 12/19/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) UPLAND, CA
IA
01/03/2011 - 11/01/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) RIVERSIDE, CA
B
01/03/2011 - 11/01/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) RIVERSIDE, CA
IA
08/20/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RIVERSIDE, CA
B
08/20/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RIVERSIDE, CA
IA
11/09/2005 - 08/17/2007 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) WHITTIER, CA
B
11/09/2005 - 08/17/2007 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) WHITTIER, CA
IA
07/21/2004 - 11/01/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
07/21/2004 - 11/01/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
09/08/2003 - 07/02/2004 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
IA
03/07/2003 - 08/26/2003 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
02/05/2003 - 08/26/2003 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
08/20/2002 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
05/23/2002 - 07/31/2002 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
B
08/18/1998 - 06/07/2002 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
10/07/1997 - 07/29/1998 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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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.