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Registration History
198519901995200020052010201520202025IALPL FINANCIAL LLC (CRD# 6413)2022 - Present (2 years)BLPL FINANCIAL LLC (CRD# 6413)2015 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2015 (15 years)BPIPER JAFFRAY INC. (CRD# 665)1999 - 1999 (<1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)1995 - 1999 (4 years)BCFS BROKERAGE CORP. (CRD# 24049)1993 - 1994 (1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1986 - 1990 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1981 - 1986 (5 years)IA360 FINANCIAL (CRD# 168600)2015 - 2022 (6 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2015 (3 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1999 - 2006 (7 years)
Disclosure(s)
View By:
8/7/1995
Regulatory
Final
License(s)

State Registrations

B
Arizona 11/17/2015

B
Minnesota 11/2/2015

B
Colorado 9/29/2022

IA
Minnesota 8/1/2022

IA
Colorado 9/29/2022

B
Oklahoma 10/31/2017

B
Florida 11/4/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
DENVER, CO
Registered with this firm since 8/1/2022

B
LPL FINANCIAL LLC (CRD#:6413)
DENVER, CO
Registered with this firm since 10/30/2015

Previous Registration(s)
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IA
12/11/2015 - 08/01/2022 360 FINANCIAL (CRD#:168600) WAYZATA, MN
IA
08/06/2012 - 08/25/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MINNEAPOLIS, MN
B
11/11/1999 - 08/25/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MINNEAPOLIS, MN
IA
11/12/1999 - 12/31/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) MINNEAPOLIS, MN
B
05/17/1999 - 10/06/1999 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
05/24/1995 - 05/20/1999 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
B
03/15/1993 - 10/21/1994 CFS BROKERAGE CORP. (CRD#:24049) NEW YORK, NY
B
06/10/1986 - 01/01/1990 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
04/13/1981 - 06/16/1986 PAINEWEBBER INCORPORATED (CRD#:8174)
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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.