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Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2015 - 2022 (6 years)2 FIRMS2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - 2014 (1 year)IACAPITAL MANAGEMENT GROUP OF SA... (CRD# 292838)2018 - 2019 (<1 year)
Disclosure(s)
View By:
5/18/2022
Employment Separation After Allegations
License(s)

State Registrations

B
California 5/18/2022

IA
Idaho 5/19/2022

IA
California 5/18/2022

B
Utah 3/1/2023

B
Idaho 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)
MERIDIAN, ID
Registered with this firm since 5/18/2022

B
LPL FINANCIAL LLC (CRD#:6413)
MERIDIAN, ID
Registered with this firm since 5/18/2022

Previous Registration(s)
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IA
08/24/2015 - 06/10/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARLSBAD, CA
B
08/18/2015 - 06/10/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARLSBAD, CA
IA
07/09/2018 - 02/04/2019 CAPITAL MANAGEMENT GROUP OF SAN DIEGO LLC (CRD#:292838) SAN DIEGO, CA
B
07/15/2013 - 08/07/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
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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.