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Detailed Report
LINDSEY NELSON TOOLE
LINDSEY N TOOLE
CRD#: 4608823
IA
Investment Adviser
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Previous Broker
CWM, LLCCRD#: 155344 1120 N Kimball Avenue
Suite 100
Southlake, TX 76092
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2019 (4 years)IACWM, LLC (CRD# 155344)2020 - Present (5 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2020 - 2022 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2005 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2004 (1 year)IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2019 - 2019 (<1 year)IAMORGAN STANLEY (CRD# 7556)2005 - 2005 (<1 year)
License(s)

State Registrations

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Texas 2/19/2020
Current Registration(s)
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CWM, LLC (CRD#:155344)
1120 N Kimball Avenue Suite 100, Southlake, TX 76092
Registered with this firm since 2/19/2020
Previous Registration(s)
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 02/11/2020 - 05/19/2022 CETERA ADVISOR NETWORKS LLC (CRD#:13572) COLLEYVILLE, TX
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 04/30/2019 - 12/18/2019 PRIVATE ADVISOR GROUP, LLC (CRD#:155216) Port Charlotte, FL
B
 07/23/2015 - 12/12/2019 LPL FINANCIAL LLC (CRD#:6413) PORT CHARLOTTE, FL
IA
 08/06/2015 - 05/02/2019 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) LAKEWOOD RANCH, FL
IA
 10/06/2014 - 07/17/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) TAMPA, FL
B
 10/02/2014 - 07/17/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) TAMPA, FL
IA
 07/18/2013 - 09/23/2014 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) SARASOTA, FL
B
 07/17/2013 - 09/23/2014 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) SARASOTA, FL
IA
 07/17/2009 - 06/24/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) VENICE, FL
B
 07/14/2009 - 06/24/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) VENICE, FL
IA
 03/27/2009 - 06/17/2009 OPPENHEIMER & CO. INC. (CRD#:249) TAMPA, FL
B
 03/20/2009 - 06/17/2009 OPPENHEIMER & CO. INC. (CRD#:249) TAMPA, FL
IA
 11/12/2008 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) LONGBOAT KEY, FL
B
 11/07/2008 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) LONGBOAT KEY, FL
IA
 06/07/2005 - 11/18/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUGUSTA, GA
B
 06/03/2005 - 11/18/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUGUSTA, GA
IA
 02/14/2005 - 06/06/2005 MORGAN STANLEY (CRD#:7556) AUGUSTA, GA
B
 08/25/2004 - 06/06/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 12/05/2002 - 08/02/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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.
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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.