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Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2020 (15 years)2 FIRMS2020 - Present (4 years)
Disclosure(s)
View By:
9/25/2020
Customer Dispute
Denied
7/31/2017
Customer Dispute
Award / Judgment
12/29/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 11/29/2023

B
Nevada 5/12/2020

B
Arizona 5/12/2020

B
North Carolina 5/12/2020

B
California 5/12/2020

B
Oregon 5/12/2020

B
Connecticut 7/20/2020

B
Texas 5/12/2020

B
Florida 5/12/2020

IA
Texas 5/12/2020

B
Georgia 5/12/2020

B
Utah 1/9/2024

B
Idaho 9/16/2022

B
Washington 5/12/2020

B
Missouri 5/29/2020

IA
Washington 5/12/2020

B
Montana 11/29/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
BELLEVUE, WA
Registered with this firm since 5/12/2020

B
LPL FINANCIAL LLC (CRD#:6413)
BELLEVUE, WA
Registered with this firm since 5/12/2020

Previous Registration(s)
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IA
10/04/2004 - 05/15/2020 WADDELL & REED (CRD#:866) BELLEVUE, WA
B
10/04/2004 - 05/15/2020 WADDELL & REED (CRD#:866) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
B
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.