• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Registration History
19801985199019952000200520102015202020252 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (1 year)BFIRST ASSET FINANCIAL INC. (CRD# 139107)2006 - 2022 (16 years)BIRON STREET SECURITIES INC. (CRD# 46338)2004 - 2006 (1 year)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2003 - 2004 (1 year)BCORNERSTONE INVESTMENTS, L.L.C. (CRD# 38042)1995 - 2002 (7 years)BBIRCHTREE FINANCIAL SERVICES, INC. (CRD# 15014)1995 - 1995 (<1 year)BPRIMELINE SECURITIES CORP. (CRD# 15896)1989 - 1995 (5 years)BSOUTHMARK FINANCIAL SERVICES, INC. (CRD# 6518)1986 - 1989 (2 years)BNEW ENGLAND SECURITIES CORPORATION (CRD# 615)1978 - 1986 (8 years)IACHIEF ADVISORS CORP (CRD# 125261)2005 - 2022 (17 years)IACORNERSTONE ADVISORS (CRD# 114510)2001 - 2004 (3 years)
Disclosure(s)
View By:
10/10/2005
Customer Dispute
Settled
12/11/1996
Regulatory
Final
License(s)

State Registrations

B
California 6/12/2024

B
Missouri 4/9/2024

B
Connecticut 9/19/2024

B
Nebraska 12/18/2024

B
Florida 1/26/2024

B
Ohio 6/12/2024

B
Idaho 6/12/2024

B
Oklahoma 6/13/2024

B
Kansas 1/26/2024

B
Texas 6/12/2024

IA
Kansas 1/26/2024

IA
Texas 7/31/2024

B
Minnesota 6/3/2024

B
Vermont 6/12/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
6540 SW 10TH AVE STE 201, TOPEKA, KS 66615
Registered with this firm since 1/26/2024

B
LPL FINANCIAL LLC (CRD#:6413)
6540 SW 10TH AVE STE 201, TOPEKA, KS 66615
Registered with this firm since 1/26/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2023 - 02/12/2024 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Topeka, KS
B
01/03/2023 - 02/12/2024 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) TOPEKA, KS
IA
02/15/2005 - 12/31/2022 CHIEF ADVISORS CORP (CRD#:125261) SALINA, KS
B
07/27/2006 - 12/31/2022 FIRST ASSET FINANCIAL INC. (CRD#:139107) TOPEKA, KS
B
08/06/2004 - 07/27/2006 IRON STREET SECURITIES INC. (CRD#:46338) SALINA, KS
IA
01/18/2001 - 07/30/2004 CORNERSTONE ADVISORS (CRD#:114510) TOPEKA, KS
B
01/02/2003 - 07/28/2004 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) FAIRFIELD, IA
B
12/05/1995 - 12/31/2002 CORNERSTONE INVESTMENTS, L.L.C. (CRD#:38042) TOPEKA, KS
B
05/08/1995 - 12/13/1995 BIRCHTREE FINANCIAL SERVICES, INC. (CRD#:15014) MINNEAPOLIS, MN
B
05/05/1989 - 02/21/1995 PRIMELINE SECURITIES CORP. (CRD#:15896) WICHITA, KS
B
11/07/1986 - 05/09/1989 SOUTHMARK FINANCIAL SERVICES, INC. (CRD#:6518)
B
05/09/1978 - 12/05/1986 NEW ENGLAND SECURITIES CORPORATION (CRD#:615)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.