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Registration History
20002002200420062008201020122014201620182020202220242 FIRMS2003 - 2011 (8 years)2 FIRMS2011 - Present (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2003 (2 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2003 (2 years)
Disclosure(s)
View By:
9/22/2004
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 10/11/2011

B
Missouri 11/4/2021

B
Arkansas 8/8/2024

B
Montana 8/31/2023

B
California 10/11/2011

B
Nevada 10/28/2024

IA
California 10/11/2011

B
Oregon 3/24/2014

B
Idaho 6/20/2014

B
Texas 4/23/2020

B
Illinois 3/29/2021

B
Utah 11/23/2020

B
Indiana 9/27/2022

B
Washington 7/12/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
605 W H ST STE 105, BRAWLEY, CA 92227
Registered with this firm since 10/11/2011

B
LPL FINANCIAL LLC (CRD#:6413)
605 W H ST STE 105, BRAWLEY, CA 92227
Registered with this firm since 10/11/2011

Previous Registration(s)
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IA
08/13/2003 - 10/11/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) BRAWLEY, CA
B
08/13/2003 - 10/11/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) BRAWLEY, CA
IA
02/08/2001 - 08/07/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) INDIAN WELLS, CA
B
09/22/2000 - 08/07/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.