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Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2020 (12 years)2 FIRMS2020 - Present (4 years)
Disclosure(s)
View By:
11/16/2016
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/23/2020

B
Maryland 7/23/2020

B
Colorado 7/23/2020

B
Massachusetts 10/2/2020

B
Connecticut 7/23/2020

B
Nevada 7/23/2020

IA
Connecticut 7/23/2020

B
New Jersey 7/23/2020

B
Florida 7/23/2020

B
North Carolina 7/23/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
NEW BRITAIN, CT
Registered with this firm since 7/23/2020

B
LPL FINANCIAL LLC (CRD#:6413)
NEW BRITAIN, CT
Registered with this firm since 7/23/2020

Previous Registration(s)
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IA
02/15/2008 - 08/03/2020 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) HARTFORD, CT
B
02/15/2008 - 08/03/2020 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) HARTFORD, CT
IA
07/01/2003 - 02/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) HARTFORD, CT
B
07/01/2003 - 02/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) HARTFORD, CT
IA
10/18/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) GLASTONBURY, CT
B
10/18/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
IA
06/30/2000 - 10/28/2002 MORGAN STANLEY (CRD#:7556) HARTFORD, CT
B
04/20/2000 - 10/28/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
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IA
Investment Adviser
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.