Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2023 (12 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
7/22/2020
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/19/2023
B
Nevada 7/19/2023
B
California 7/19/2023
B
New Jersey 7/19/2023
IA
California 7/19/2023
B
New York 7/19/2023
B
Hawaii 7/19/2023
B
Ohio 7/19/2023
B
Illinois 7/19/2023
B
Utah 7/19/2023
B
Indiana 7/19/2023
B
Virginia 7/19/2023
B
Michigan 7/19/2023
B
Washington 7/19/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
599 E COLORADO BLVD, PASADENA, CA 91101
LOS ANGELES, CA
Registered with this firm since 7/19/2023
B
LPL FINANCIAL LLC (CRD#:6413)
599 E COLORADO BLVD, PASADENA, CA 91101
LOS ANGELES, CA
Registered with this firm since 7/19/2023
Previous Registration(s)
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IA
 01/28/2011 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) PASADENA, CA
B
 01/27/2011 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) PASADENA, CA
IA
 05/05/2009 - 01/21/2011 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SHERMAN OAKS, CA
B
 05/05/2009 - 01/21/2011 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SHERMAN OAKS, CA
IA
 07/30/2007 - 04/29/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BEVERLY HILLS, CA
B
 07/04/2007 - 04/29/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BEVERLY HILLS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.