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Registration History
199019952000200520102015202020252 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2008 - 2010 (1 year)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2009 - 2010 (1 year)
Disclosure(s)
View By:
2/17/1987
Criminal
Final Disposition
License(s)

State Registrations

B
California 3/8/2024

B
Ohio 3/7/2024

B
Michigan 3/21/2024

IA
Ohio 3/19/2024

B
North Carolina 3/7/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1120 W MAPLE ST STE B, HARTVILLE, OH 44632
Registered with this firm since 3/19/2024

B
LPL FINANCIAL LLC (CRD#:6413)
1120 W MAPLE ST STE B, HARTVILLE, OH 44632
Registered with this firm since 3/7/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/20/2015 - 03/18/2024 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) NORTH CANTON, OH
B
04/17/2015 - 03/18/2024 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) NORTH CANTON, OH
IA
10/01/2012 - 04/29/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) WEST LAFAYETTE, OH
B
10/01/2012 - 04/29/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) WEST LAFAYETTE, OH
IA
07/08/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEWCOMERSTOWN, OH
B
05/21/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEWCOMERSTOWN, OH
IA
01/21/2009 - 05/11/2010 PARK AVENUE SECURITIES LLC (CRD#:46173) CANTON, OH
B
08/21/2008 - 05/11/2010 PARK AVENUE SECURITIES LLC (CRD#:46173) CANTON, OH
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B
Broker
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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.