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Detailed Report
Registration History
19801985199019952000200520102015202020252 FIRMS2001 - 2006 (5 years)2 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - Present (14 years)BUBS PAINEWEBBER INC. (CRD# 8174)1995 - 2001 (6 years)BRAUSCHER PIERCE REFSNES, INC. (CRD# 6663)1987 - 1995 (8 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1984 - 1987 (2 years)BLEHMAN BROTHERS KUHN LOEB INCO... (CRD# 7555)1982 - 1984 (2 years)BROTAN MOSLE INC. (CRD# 727)1980 - 1982 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 1980 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1978 - 1978 (<1 year)
Disclosure(s)
View By:
6/14/2013
Judgment / Lien
1/9/2006
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 6/19/2023
IA
South Carolina 2/21/2018
IA
Florida 6/19/2023
B
Texas 10/26/2010
B
South Carolina 2/16/2018
IA
Texas 10/26/2010

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
MOMENTUM INDEPENDENT NETWORK INC. (CRD#:17587)
KATY, TX
Registered with this firm since 10/26/2010
B
MOMENTUM INDEPENDENT NETWORK INC. (CRD#:17587)
KATY, TX
Registered with this firm since 10/26/2010
Previous Registration(s)
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IA
 12/15/2006 - 10/26/2010 SOUTHWEST SECURITIES, INC. (CRD#:6220) HOUSTON, TX
B
 12/15/2006 - 10/26/2010 SOUTHWEST SECURITIES, INC. (CRD#:6220) HOUSTON, TX
IA
 08/21/2001 - 12/19/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) HOUSTON, TX
B
 07/13/2001 - 12/19/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) HOUSTON, TX
B
 02/10/1995 - 07/27/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 01/05/1987 - 02/17/1995 RAUSCHER PIERCE REFSNES, INC. (CRD#:6663) DALLAS, TX
B
 05/14/1984 - 01/16/1987 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560)
B
 05/10/1982 - 05/21/1984 LEHMAN BROTHERS KUHN LOEB INCORPORATED (CRD#:7555)
B
 06/03/1980 - 05/17/1982 ROTAN MOSLE INC. (CRD#:727)
B
 09/26/1978 - 06/16/1980 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 02/01/1978 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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.