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Registration History
19952000200520102015202020252 FIRMS2004 - 2022 (18 years)2 FIRMS2022 - Present (2 years)
Disclosure(s)
View By:
11/13/1994
Criminal
Final Disposition
License(s)

State Registrations

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Alabama 5/18/2022

B
Nebraska 5/18/2022

B
Alaska 5/18/2022

B
Nevada 5/18/2022

B
Arizona 5/18/2022

B
New Hampshire 5/18/2022

B
Arkansas 5/18/2022

B
New Jersey 5/18/2022

B
California 5/18/2022

B
New Mexico 5/18/2022

B
Colorado 5/18/2022

B
New York 5/18/2022

B
Connecticut 5/18/2022

B
North Carolina 5/18/2022

B
Delaware 5/18/2022

B
North Dakota 5/18/2022

B
District of Columbia 5/18/2022

B
Ohio 5/18/2022

B
Florida 5/19/2022

B
Oklahoma 5/18/2022

B
Georgia 5/18/2022

B
Oregon 5/18/2022

B
Hawaii 5/18/2022

B
Pennsylvania 5/18/2022

B
Idaho 5/18/2022

B
Puerto Rico 5/18/2022

B
Illinois 5/18/2022

B
Rhode Island 5/18/2022

B
Indiana 5/18/2022

B
South Carolina 5/18/2022

B
Iowa 5/18/2022

B
South Dakota 5/18/2022

B
Kansas 5/18/2022

B
Tennessee 5/18/2022

B
Kentucky 5/18/2022

B
Texas 5/18/2022

B
Louisiana 5/18/2022

B
Utah 5/18/2022

B
Maine 5/18/2022

B
Vermont 5/18/2022

B
Maryland 5/18/2022

B
Virginia 5/18/2022

B
Massachusetts 5/18/2022

B
Washington 5/18/2022

B
Michigan 5/18/2022

B
West Virginia 5/18/2022

B
Minnesota 5/18/2022

B
Wisconsin 5/18/2022

B
Mississippi 5/18/2022

IA
Wisconsin 5/18/2022

B
Missouri 5/18/2022

B
Wyoming 5/18/2022

B
Montana 5/18/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5910 MINERAL POINT ROAD, MADISON, WI 53705
OREGON, WI
Registered with this firm since 5/18/2022

B
LPL FINANCIAL LLC (CRD#:6413)
5910 MINERAL POINT ROAD, MADISON, WI 53705
OREGON, WI
Registered with this firm since 5/18/2022

Previous Registration(s)
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IA
04/23/2004 - 05/18/2022 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) Oregon, WI
B
04/22/2004 - 05/18/2022 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) Oregon, WI
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B
Broker
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.