Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20002002200420062008201020122014201620182020202220242026IAFMSA (CRD# 154136)2018 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2008 - 2016 (8 years)BMETLIFE SECURITIES INC. (CRD# 14251)2006 - 2008 (2 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2006 - 2007 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)2004 - 2004 (<1 year)BFORESTERS EQUITY SERVICES, INC. (CRD# 18464)2002 - 2004 (2 years)BJANUS DISTRIBUTORS, INC. (CRD# 28832)1999 - 2001 (1 year)
Disclosure(s)
View By:
5/17/2018
Judgment / Lien
License(s)

State Registrations

IA
Texas 10/15/2018
Current Registration(s)
IA
FMSA (CRD#:154136)
RANCHO VIEJO, TX
Registered with this firm since 10/15/2018
Previous Registration(s)
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 06/13/2008 - 06/03/2016 LPL FINANCIAL LLC (CRD#:6413) RANCHO VIEJO, TX
B
 05/01/2006 - 06/16/2008 METLIFE SECURITIES INC. (CRD#:14251) SAN ANTONIO, TX
B
 05/01/2006 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 09/13/2004 - 12/15/2004 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
 05/17/2002 - 08/19/2004 FORESTERS EQUITY SERVICES, INC. (CRD#:18464) SAN DIEGO, CA
B
 07/28/1999 - 05/01/2001 JANUS DISTRIBUTORS, INC. (CRD#:28832) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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.