companyName string | crd string | firstName string | lastName string | middleName string | otherNames list | bcScope string | iaScope string | hasDisclosures string | industryDays int64 | approvedRegistrationsCount int64 | employmentsCount int64 | city string | state string | zipCode string | firmId string | firmBdSecNumber string | firmIaSecNumber string | isIaOnly string | scrapedAt string | _run_id string | _dataset_id string |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
INVESTMENT PLANNERS, INC. | 1731327 | Gregory | Smith | James | [
"GREGORY J SMITH",
"SMITTY SMITH",
"Greg Smith"
] | Active | Active | Y | 0 | 1 | 3 | Naperville | IL | 18557 | 8-35642 | N | 2026-08-03T20:51:52.536531+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | ||
ONEAMERICA SECURITIES, INC. | 2833891 | Philip | Smith | Norris | [
"PHILLIP NORRIS SMITH",
"PHILIP NORRIS SMITHSMITH",
"Philip N Smith"
] | Active | Active | Y | 0 | 1 | 2 | Newport Beach | CA | 92660 | 4173 | 8-15009 | 801-56819 | N | 2026-08-03T20:51:52.536581+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | 7698200 | Justin | Smith | Ojay | [
"Jay O Smith",
"Jay Ojay Smith",
"Jay Smith",
"Justin O Smith",
"Justin Smith"
] | Active | NotInScope | Y | 0 | 1 | 2 | Frisco | TX | 75034 | 20472 | 8-44454 | 801-63550 | N | 2026-08-03T20:51:52.536607+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
CHARLES SCHWAB & CO., INC. | 2687834 | Bryan | Smith | Andrew | [
"B.A. Smith",
"Bryan A. Smith",
"Bryan Smith"
] | Active | NotInScope | Y | 0 | 1 | 1 | Phoenix | AZ | 85016-1215 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:51:52.536620+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
LPL FINANCIAL LLC | 2748975 | ROBERT | SMITH | DELMER | [
"BOB SMITH",
"ROB SMITH"
] | Active | Active | Y | 0 | 1 | 2 | SAN DIEGO | CA | 92131 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:51:52.536635+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
CASSEL SALPETER & CO., LLC | 1018196 | JOSEPH | SMITH | ALAN | [
"JOE SMITH",
"JOEY SMITH"
] | Active | NotInScope | Y | 0 | 1 | 1 | MIAMI | FL | 33133 | 153522 | 8-68547 | N | 2026-08-03T20:51:52.683211+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | |
EMPOWER FINANCIAL SERVICES, INC. | 2502953 | Bryan | Smith | Todd | [
"Bryan T Smith",
"Bryan Smith",
"Todd Smith"
] | Active | Active | Y | 0 | 1 | 3 | GREENWOOD VILLAGE | CO | 80111 | 13109 | 8-33854 | N | 2026-08-03T20:51:52.683281+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6345204 | Kevin | Smith | P | [
"K. Peter Smith Jr.",
"Kevin Peter Smith Jr",
"Kevin Smith",
"Peter Smith",
"Pete Smith"
] | Active | Active | Y | 0 | 1 | 2 | EDINA | MN | 55435 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:52.683297+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
PFS INVESTMENTS INC. | 1914176 | FLOYD | SMITH | LES | [
"F LES SMITH JR",
"F LES SMITH",
"F LES JR SMITH"
] | Active | NotInScope | Y | 0 | 1 | 1 | WICHITA | KS | 67203 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:52.683314+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
WELLS FARGO CLEARING SERVICES, LLC | 2992967 | LARRY | SMITH | KEN | [
"KEN L SMITH",
"L KEN SMITH"
] | Active | Active | Y | 0 | 1 | 2 | MINNEAPOLIS | MN | 55402 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:51:52.683326+00:00 | hpdx9KfvgiK48EioF | 8p14A1lGBlvehIBH3 |
FOCUS PARTNERS WEALTH, LLC | 1012313 | THOMAS | UBER | EDWARD | [
"THOMAS UBER"
] | NotInScope | Active | Y | 0 | 0 | 1 | Ivins | UT | 159289 | Y | 2026-08-03T20:53:07.430281+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | |||
EDWARD JONES | 1412383 | John | Ubelhor | A. | [
"JOHN ARNOLD UBELHOR",
"John A Ubelhor"
] | Active | Active | Y | 0 | 1 | 2 | BOONVILLE | IN | 47601 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:53:07.430314+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
PNC WEALTH MANAGEMENT LLC | 4194576 | MARCELO | UBAL | FABIAN | [
"MARCELO F. UBAL"
] | Active | Active | Y | 0 | 1 | 3 | CHARLOTTE | NC | 28207 | 129052 | 8-66195 | 801-66195 | N | 2026-08-03T20:53:07.430333+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
PFS INVESTMENTS INC. | 3106878 | UBAID | GIBSON | [] | Active | NotInScope | Y | 0 | 1 | 2 | CHINO HILLS | CA | 91709 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:53:07.430584+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | |
ALLSTATE FINANCIAL SERVICES, LLC | 3255813 | Ubaldo | Bermudez | [
"UBALDO BERMUDEZ JR"
] | Active | NotInScope | Y | 0 | 1 | 1 | El Centro | CA | 92243-4748 | 18272 | 8-36365 | N | 2026-08-03T20:53:07.563535+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald | ||
LPL ENTERPRISE, LLC | 2341262 | JANICE | UBERECKEN | C | [] | Active | Active | Y | 0 | 1 | 3 | SUPERIOR | WI | 54880 | 8733 | 8-26037 | 801-130883 | N | 2026-08-03T20:53:07.563566+00:00 | epI9okUrBshvfBfow | fnisGPnqCOp921ald |
OPPENHEIMER & CO. INC. | 1551026 | CRAIG | PLATT | LYLE | [] | Active | Active | Y | 0 | 1 | 3 | ASPEN | CO | 249 | 8-4077 | 801-887 | N | 2026-08-03T20:52:46.658022+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
PARK AVENUE SECURITIES LLC | 2618153 | LILY | LAM | C | [
"LILY CHIMAN LAM",
"Lily C Lam",
"Lily Lam"
] | Active | NotInScope | Y | 0 | 1 | 1 | HOLMDEL | NJ | 07733 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:52:46.658069+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
PARK AVENUE SECURITIES LLC | 5960005 | SARAH | RUTHERFORD | [
"SARAH B LILE",
"SARAH BETH LILE",
"Sarah Lile"
] | Active | Active | Y | 0 | 1 | 3 | NEW YORK | NY | 10001 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:52:46.837518+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
CRESCENT SECURITIES GROUP, INC. | 2724534 | Marty | Lile | Shelton | [
"MARTY S LILE",
"MARTY LILE"
] | Active | NotInScope | Y | 0 | 1 | 1 | Denver | CO | 80237 | 114993 | 8-53457 | N | 2026-08-03T20:52:46.837543+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
J.K. FINANCIAL SERVICES, INC. | 4336165 | LILY | HO | MEIXIA | [
"LILY M HO",
"WEI XIA He",
"Lily Meixia Ho",
"Lily Ho"
] | Active | Active | Y | 0 | 1 | 3 | Dripping Springs | TX | 78620 | 103728 | 8-52214 | N | 2026-08-03T20:52:46.837551+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
MORGAN STANLEY | 724556 | LILY | ENGELHARDT | KORINE | [
"LILY K ENGELHARDT",
"LILY KORINE HADAR",
"LILY HADAR",
"LILY KORINE"
] | Active | Active | Y | 0 | 1 | 3 | New York | NY | 10119 | 149777 | 8-68191 | 801-70103 | N | 2026-08-03T20:52:46.837558+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
CREWS & ASSOCIATES, INC. | 707734 | JAMES | LILES | EDGAR | [
"JIM LILES JR",
"TIM LILES JR"
] | Active | Active | Y | 0 | 1 | 2 | Searcy | AR | 72143 | 8052 | 8-24075 | 801-128827 | N | 2026-08-03T20:52:46.837565+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN |
WELLS FARGO CLEARING SERVICES, LLC | 5777691 | HANLU | YE | [
"LULU YE"
] | Active | Active | Y | 0 | 1 | 2 | MURPHY | TX | 75094 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:52:46.837573+00:00 | r6TAeI2nK6ibnp9DZ | k9PbyMMUry7wAlOjN | |
FIDELITY BROKERAGE SERVICES LLC | 5451141 | VALERIE | MILLER | A | [
"VALERIE MILLER"
] | Active | NotInScope | N | 0 | 1 | 2 | SMITHFIELD | RI | 02917 | 7784 | 8-23292 | N | 2026-08-03T20:50:58.262982+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
HARBOUR INVESTMENTS, INC. | 4633262 | VALERIE | MILLER | NORENE | [
"VALERIE NORENE JESIONOWSKI",
"VALERIE JESIONOWSKI",
"VAL MILLER",
"VALERIE N MILLER"
] | Active | Active | N | 0 | 1 | 3 | Edmonds | WA | 98026 | 19258 | 8-37373 | 801-29185 | N | 2026-08-03T20:50:58.263012+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
CHARLES SCHWAB & CO., INC. | 5150902 | Valerie | Miller | L | [
"VALERIE LYNN BARRETT",
"VALERIE LYNN MILLER"
] | Active | Active | N | 0 | 1 | 2 | Omaha | NE | 68154 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:50:58.263022+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
EDWARD JONES | 4552062 | Vanessa | Miller | Anne | [] | Active | Active | N | 0 | 1 | 2 | ENID | OK | 73701 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:50:58.263030+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
CITIZENS SECURITIES, INC. | 4262386 | ROSEMARY | MILLER | VALARIE | [
"ROSEMARY VALARIE BILLERI",
"ROSEMARY V MILLER"
] | Active | Active | N | 0 | 1 | 2 | JOHNSTON | RI | 02919 | 39550 | 8-48744 | 801-61902 | N | 2026-08-03T20:50:58.263038+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
LPL FINANCIAL LLC | 4868695 | LORETTA | MILLER | MICHELLE | [
"LORETTA MICHELLE VALDEZ"
] | Active | Active | N | 0 | 1 | 2 | ALTAMONTE SPRINGS | FL | 32714 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:50:58.263046+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
MML INVESTORS SERVICES, LLC | 4914664 | Michelle | Miller | Donovan | [
"MICHELLE ANN DONOVAN",
"MICHELLE DONOVAN MILLER",
"Michelle Donovan VandeBurgt"
] | Active | NotInScope | N | 0 | 1 | 2 | SPRINGFIELD | MA | 01111 | 10409 | 8-27250 | 801-44264 | N | 2026-08-03T20:50:58.263056+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
WAYMAKER FINANCIAL PLANNING | 2441702 | MICHELLE | VARGAS | MILLER | [
"MICHELLE MILLER",
"Michelle R. Miller",
"Michelle Renee Miller",
"Michelle Miller Vargas",
"Michelle Vargas"
] | NotInScope | Active | N | 0 | 0 | 1 | FORT WORTH | TX | 76107 | 308177 | Y | 2026-08-03T20:50:58.263063+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
INSIGNEO SECURITIES, LLC | 7740119 | JUAN | VARGAS MILLER | PEDRO | [
"JUAN PEDRO VARGAS"
] | Active | NotInScope | N | 0 | 1 | 2 | MONTEVIDEO | 91600 | 29249 | 8-44166 | N | 2026-08-03T20:50:58.263069+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
PARK AVENUE SECURITIES LLC | 4958347 | ANGELA | VAHUE | P | [
"ANGELA P MILLER",
"ANGELA P SZAFRAN",
"Angela Vahue"
] | Active | Active | N | 0 | 1 | 3 | RESTON | VA | 20191 | 46173 | 8-51324 | 801-58108 | N | 2026-08-03T20:50:58.263076+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
STIFEL, NICOLAUS & COMPANY, INCORPORATED | 5020953 | Nancy | VanLoo | J | [
"NANCY JOAN FISCHER",
"NANCY JOAN MILLER",
"NANCY JOAN VANLOO"
] | Active | Active | N | 0 | 1 | 2 | LIMA | OH | 45807 | 793 | 8-1447 | 801-10746 | N | 2026-08-03T20:50:58.263083+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
ROOT FINANCIAL PARTNERS | 7210811 | Erin | Varghese | Rochelle | [
"Erin Rochelle Miller"
] | InActive | Active | N | 127 | 0 | 1 | Ridgefield | WA | 290289 | 801-125945 | Y | 2026-08-03T20:50:58.263091+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
PFS INVESTMENTS INC. | 5995914 | VALORIE | CLEVELAND | [
"VALORIE MILLER CLEVELAND",
"VALORIE MICHELLE MILLER"
] | Active | InActive | N | 0 | 1 | 1 | BATON ROUGE | LA | 70802 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:50:58.263098+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
GENEOS WEALTH MANAGEMENT, INC. | 2716839 | YVONNE | SMITH | RENEE | [
"YVONNE MILLER",
"YVONNE SMITH",
"YVONNE RENEE VANDERMOLEN"
] | Active | Active | N | 0 | 1 | 2 | Orchard Park | NY | 14127 | 120894 | 8-65357 | 801-62331 | N | 2026-08-03T20:50:58.263104+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
NOMURA SECURITIES INTERNATIONAL, INC. | 4813970 | CLARENCE | VAN MILDER | WILFRED JAMES | [
"CLARENCE W VAN MILDER",
"CLARENCE VAN MILDER",
"JAMES VAN MILDER",
"CLARENCE W VANMILDER",
"JAMES VANMILDER"
] | Active | NotInScope | N | 0 | 1 | 2 | NEW YORK | NY | 10019 | 4297 | 8-15255 | 801-72991 | N | 2026-08-03T20:50:58.263110+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT |
KKR CAPITAL MARKETS LLC | 2494365 | VANITHA | MILBERG | [
"VANITHA BADARI",
"Vanitha Milberg"
] | Active | NotInScope | N | 0 | 1 | 1 | New York | NY | 10001 | 143571 | 8-67578 | N | 2026-08-03T20:50:58.263117+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | ||
FIDELITY BROKERAGE SERVICES LLC | 7399509 | VANESSA | JACKSON | A. | [
"VANESSA AIMEE JACKSON",
"Vanessa Aimee Millard"
] | Active | NotInScope | N | 0 | 1 | 2 | WESTLAKE | TX | 76262 | 7784 | 8-23292 | N | 2026-08-03T20:50:58.263125+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
STATE FARM VP MANAGEMENT CORP. | 7620241 | Julia | Muller | Valarie | [] | Active | Active | N | 0 | 1 | 2 | Palm Bch Gdns | FL | 33410 | 43036 | 8-50128 | N | 2026-08-03T20:50:58.263130+00:00 | Km7Tzk0Vb0a8MHBFt | WOo9qWmVq4TbHk1WT | |
LPL ENTERPRISE, LLC | 1858674 | JOANNE | JOHNSON | [
"JO ANNE JOHNSON",
"JOANNE ANNE JOHNSON",
"JOANNE ANNE JOHNSONGULLO",
"JOANNE JOHNSONGULLO"
] | Active | NotInScope | Y | 0 | 1 | 1 | DELANCO | NJ | 8733 | 8-26037 | 801-130883 | N | 2026-08-03T20:52:14.881293+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
THRIVENT INVESTMENT MANAGEMENT INC. | 4523821 | Lafayette | Johnson | David | [
"D. J. JOHNSON",
"L. DAVID JOHNSON",
"DJ Johnson"
] | Active | Active | Y | 0 | 1 | 2 | Midlothian | VA | 23113 | 18387 | 8-36525 | 801-29618 | N | 2026-08-03T20:52:14.881333+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 7301053 | Jason | Johnson | Barq | [
"JASON BARQ JOHNSON",
"JASON B JONHSON",
"Jason Barq Johnson Jr"
] | Active | Active | Y | 0 | 1 | 2 | FORT WORTH | TX | 76102 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:52:14.881350+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
LPL FINANCIAL LLC | 2607639 | DOUGLAS | JOHNSON | MARK | [
"DJ JOHNSON",
"DOUG JOHNSON"
] | Active | Active | Y | 0 | 1 | 2 | WINONA | MN | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:52:14.881358+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | |
TRIAD WEALTH PARTNERS, LLC | 4973276 | JOHN PAUL | JOHNSON | [
"JOHN PAUL JOHNSON",
"JOHN JOHNSON",
"JP JOHNSON"
] | InActive | Active | Y | 7,232 | 0 | 1 | FRISCO | TX | 75036 | 326523 | 801-128150 | Y | 2026-08-03T20:52:14.881371+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2122107 | DANE | JOHNSON | M | [
"DANA JOHNSON",
"DANE JOHNSON"
] | Active | Active | Y | 0 | 1 | 3 | WESTLAKE VILLAGE | CA | 91361 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:52:14.881384+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 |
TRANSAMERICA INVESTORS SECURITIES, LLC | 7730075 | Leon | Johnson | Devonta | [
"Leon D Johnson",
"Leon Johnson"
] | Active | NotInScope | Y | 0 | 1 | 2 | Plymouth | MN | 32205 | 8-45671 | N | 2026-08-03T20:52:15.054379+00:00 | taqbBzMmmXu5dLG70 | T8Eeiil3657zgvEV4 | ||
VALIC FINANCIAL ADVISORS, INC. | 2328395 | WILLIAM | WILLIAMS | GEORGE | [
"BILL WILLIAMS",
"W G WILLIAMS",
"WILLIAM WILLIAMS"
] | Active | Active | Y | 0 | 1 | 2 | NOVI | MI | 48375 | 42803 | 8-50018 | 801-54952 | N | 2026-08-03T20:52:33.736588+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba |
THRIVENT INVESTMENT MANAGEMENT INC. | 4817826 | Robert | Williams | [
"ROB WILLIAMS",
"ROBBIE WILLIAMS",
"ROBERT WILLIAMS III",
"ROBERT WILLIAMS III",
"Rob Williams",
"Robert Williams"
] | Active | Active | Y | 0 | 1 | 3 | MINNEAPOLIS | MN | 55415 | 18387 | 8-36525 | 801-29618 | N | 2026-08-03T20:52:33.736636+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba | |
AMERIPRISE FINANCIAL SERVICES, LLC | 4261659 | KIMBERLY | WILLIAMS | SHAY | [
"KIM SHAY WILLIAMS",
"KIM WILLIAMS",
"KIMBERLY S. WILLIAMS",
"KIMBERLY WILLIAMS",
"SHAY WILLIAMS"
] | Active | Active | Y | 0 | 1 | 3 | AUSTIN | TX | 78731 | 6363 | 8-16791 | 801-28543 | N | 2026-08-03T20:52:33.736651+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba |
LPL FINANCIAL LLC | 5787114 | KYLE | WILLIAMS | [
"JON KYLE WILLIAMS",
"JON WILLIAMS"
] | Active | Active | Y | 0 | 1 | 2 | ALTAMONTE SPRINGS | FL | 32714 | 6413 | 8-17668 | 801-10970 | N | 2026-08-03T20:52:34.012327+00:00 | B4YHwOL9ysd8bN61t | lKHaipLYCnSa8f9ba | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6053834 | Yair | Garcia | Juventino | [
"J GARCIA",
"JAY GARCIA",
"YAIR J GARCIA",
"YAIR JUVENTINO GARCIA",
"YAIR GARCIA",
"Yair J. Garcia"
] | Active | Active | N | 0 | 1 | 2 | FORT WORTH | TX | 76109 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654235+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
OPEN TO THE PUBLIC INVESTING, INC. | 6375174 | BALTAZAR | GARCIA | [
"B.G. GARCIA",
"BALTAZAR GARCIA",
"BART GARCIA"
] | Active | InActive | N | 0 | 1 | 2 | NEW YORK | NY | 10012 | 127818 | 8-66049 | N | 2026-08-03T20:51:30.654272+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
PFS INVESTMENTS INC. | 6789216 | JOAQUIN | GARCIA | [
"Joaquin Garcia Garcia",
"Joaquin Garcia"
] | Active | NotInScope | N | 0 | 1 | 2 | RANCHO CUCAMONGA | CA | 91701 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:30.654288+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
SUTTER SECURITIES INCORPORATED | 2264780 | ROLANDO | GARCIA | EMILIO | [
"ROLAND GARCIA",
"ROLANDO GARCIA",
"RON GARCIA",
"RONNIE GARCIA"
] | Active | InActive | Y | 0 | 1 | 1 | Henderson | NV | 30770 | 8-45158 | N | 2026-08-03T20:51:30.654302+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
ALLSTATE FINANCIAL SERVICES, LLC | 5530073 | REX | GARCIA | SOLIVEN | [
"REX S GARCIA",
"REX GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | Mountain View | CA | 94040-2406 | 18272 | 8-36365 | N | 2026-08-03T20:51:30.654312+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
GMI GLOBAL PARTNERS LLC | 7831350 | Edwardo | Garcia | [
"Ed Garcia III",
"Ed Garcia",
"Eduardo Garcia III",
"Eduardo Garcia",
"Edwardo Garcia"
] | NotInScope | Active | N | 0 | 0 | 1 | HOUSTON | TX | 77056 | 328066 | Y | 2026-08-03T20:51:30.654319+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
J.P. MORGAN SECURITIES LLC | 7252811 | Jose | Garcia | C. | [
"J.C. Garcia",
"Jose C Garcia Jr",
"Jose C Garcia",
"Jose Clemente Garcia",
"Jose Garcia"
] | Active | Active | Y | 0 | 1 | 2 | Lexington | SC | 29072 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654328+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
SEI INVESTMENTS DISTRIBUTION CO. | 2500963 | GABRIEL | GARCIA | [
"GABE GARCIA",
"GABRIEL (NONE) GARCIA",
"Gabriel Garcia"
] | Active | Active | N | 0 | 1 | 3 | OAKS | PA | 19456 | 10690 | 8-27897 | N | 2026-08-03T20:51:30.654335+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
VANGUARD MARKETING CORPORATION | 7882939 | Nicholas | Garcia | Ruben | [
"Nic Garcia",
"Nicholas Garcia",
"Nick Garcia"
] | Active | NotInScope | Y | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.654340+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
WELLS FARGO CLEARING SERVICES, LLC | 4101497 | MOISES | GARCIA | GABRIEL | [
"GABE G GARCIA",
"GABE GARCIA",
"Moises Gabriel Garcia"
] | Active | Active | N | 0 | 1 | 3 | SAN DIEGO | CA | 92101 | 19616 | 8-37180 | 801-37967 | N | 2026-08-03T20:51:30.654346+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CETERA FINANCIAL SPECIALISTS LLC | 1603413 | JAIME | GARCIA | ERNESTO | [
"JAMES GARCIA",
"JIM GARCIA"
] | Active | Active | N | 0 | 1 | 2 | CYPRESS | CA | 90630 | 10358 | 8-27082 | N | 2026-08-03T20:51:30.654352+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
PFS INVESTMENTS INC. | 8159070 | NICHOLAS | GARCIA | FERNANDO | [
"NICK GARCIA",
"NICO GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | TIPP CITY | OH | 45371 | 10111 | 8-26486 | 801-72263 | N | 2026-08-03T20:51:30.654358+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
VANGUARD MARKETING CORPORATION | 8088098 | Daniel | Garcia | Kent | [
"Dan Garcia",
"Daniel K Garcia",
"Daniel Garcia"
] | Active | NotInScope | N | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.654369+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
NYLIFE SECURITIES LLC | 7719371 | Yul | Garcia | Breyner | [
"Yul Breyner Garcia Meza",
"Yul Breyner GarciaMeza"
] | Active | NotInScope | N | 0 | 1 | 1 | PITTSBURGH | PA | 15219 | 5167 | 8-15517 | N | 2026-08-03T20:51:30.654379+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6995572 | Damien | Garcia | Henry | [
"DH Garcia",
"Damien Garcia"
] | Active | Active | N | 0 | 1 | 2 | NEW YORK | NY | 10036 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654386+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
J.P. MORGAN SECURITIES LLC | 7844066 | Luis | Garcia | Gabriel | [
"LUIS GABRIEL GARCIA",
"LUIS GARCIA",
"Luis G Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | WEST PALM BEACH | FL | 33401 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654391+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 7614342 | Jafet | Garcia | [
"Jay Garcia",
"Jayfet Garcia"
] | Active | Active | Y | 0 | 1 | 2 | NASHVILLE | TN | 37203 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654398+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
NELSON SECURITIES,INC. | 2907890 | ENRIQUE | GARCIA | MALDONADO | [
"HENRY GARCIA",
"RICK GARCIA"
] | Active | Active | N | 0 | 1 | 2 | SAN DIEGO | CA | 92130 | 14377 | 8-30576 | 801-41346 | N | 2026-08-03T20:51:30.654403+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
EMPOWER FINANCIAL SERVICES, INC. | 5643108 | Juan | Garcia | Carlos | [
"JUAN GARCIA",
"Juan C Garcia"
] | Active | Active | N | 0 | 1 | 3 | GREENWOOD VILLAGE | CO | 80111 | 13109 | 8-33854 | N | 2026-08-03T20:51:30.654410+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6160860 | M | GARCIA | Carmen | [
"CARMEN GARCIA",
"M CARMEN GARCIA",
"MCARMEN GARCIA",
"M Carmen Garcia"
] | Active | Active | N | 0 | 1 | 2 | CLOVIS | CA | 93612 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.654415+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
RAYMOND JAMES & ASSOCIATES, INC. | 6177756 | ELLA | GARCIA | MARGARITA | [
"ELLA M. GARCIA",
"ELLA GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | PLYMOUTH | MI | 48170 | 705 | 8-10999 | 801-10418 | N | 2026-08-03T20:51:30.654421+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CETERA INVESTMENT SERVICES LLC | 6196668 | ALEX | GARCIA | MATTHEW | [
"ALEX M GARCIA",
"ALEX GARCIA"
] | Active | Active | N | 0 | 1 | 3 | AUSTIN | TX | 78749 | 15340 | 8-31826 | N | 2026-08-03T20:51:30.654431+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
FIDELITY BROKERAGE SERVICES LLC | 7899913 | AMYA | GARCIA | Marie | [
"AMYA M GARCIA",
"AMYA GARCIA"
] | Active | NotInScope | N | 0 | 1 | 2 | WESTLAKE | TX | 76262 | 7784 | 8-23292 | N | 2026-08-03T20:51:30.654446+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
QUANTUM WEALTH ADVISORS LLC | 4865182 | ARTHUR | GARCIA | COLE | [
"A COLE GARCIA",
"COLE GARCIA"
] | NotInScope | Active | N | 0 | 0 | 2 | OROVILLE | CA | 336823 | Y | 2026-08-03T20:51:30.654454+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
UBS FINANCIAL SERVICES INC. | 7729675 | Juan | Garcia | Carlos | [
"Juan C. Garcia",
"Juan Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | Purchase | NY | 10577 | 8174 | 8-16267 | 801-7163 | N | 2026-08-03T20:51:30.654460+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
GLOBAL VIEW CAPITAL MANAGEMENT LLC | 5579615 | RUDY | GARCIA | LEE | [
"RUDY L. GARCIA",
"RUDY GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | FORK UNION | VA | 158292 | Y | 2026-08-03T20:51:30.654465+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
KINGSWOOD CAPITAL PARTNERS, LLC | 4802755 | Gus | Garcia | [
"GUS GARCIA",
"GUSTAVO A GARCIA",
"GUSTAVO GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | Stamford | CT | 06901 | 288898 | 8-69967 | N | 2026-08-03T20:51:30.654472+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
J.P. MORGAN SECURITIES LLC | 7706757 | Adolfo | Garcia | Rodrigo | [
"Adolfo R Garcia",
"Adolfo Garcia",
"Alex R Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | WACO | TX | 76710 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.654478+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
AMERIPRISE FINANCIAL SERVICES, LLC | 6682178 | Jose | Garcia | Luis | [
"Jose Luis Garcia Jr",
"Jose Luis Garcia Velasquez",
"Jose Luis GarciaVelasquez"
] | Active | Active | N | 0 | 1 | 3 | NORWELL | MA | 02061-1641 | 6363 | 8-16791 | 801-28543 | N | 2026-08-03T20:51:30.654483+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
EDWARD JONES | 7549699 | Elizabeth | Garcia | E | [
"ELIZABETH GARCIA",
"Libby Gacia"
] | Active | Active | N | 0 | 1 | 3 | ST. LOUIS | MO | 63131 | 250 | 8-759 | 801-3297 | N | 2026-08-03T20:51:30.654489+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
CHARLES SCHWAB & CO., INC. | 2181113 | Mark | Garcia | A | [
"MARK A GARCIA",
"MARK ANDREW GARCIA",
"Mark Garcia"
] | Active | Active | N | 0 | 1 | 2 | Brea | CA | 92823 | 5393 | 8-16514 | 801-29938 | N | 2026-08-03T20:51:30.654497+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
DIRECTED SERVICES LLC | 8145363 | Elaine Rhodora | Garcia | Limboy | [
"Elaine Garcia",
"Elay Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | QUEZON CITY, METRO MANILA | 1110 | 21675 | 8-39104 | 801-32675 | N | 2026-08-03T20:51:30.654506+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6900947 | Jesus | Garcia | Alegria | [
"JESSE GARCIA",
"JESUS GARCIA"
] | Active | Active | N | 0 | 1 | 2 | VISALIA | CA | 93291 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:51:30.822180+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
DIRECTED SERVICES LLC | 8145363 | Elaine Rhodora | Garcia | Limboy | [
"Elaine Garcia",
"Elay Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | QUEZON CITY, METRO MANILA | 1110 | 21675 | 8-39104 | 801-32675 | N | 2026-08-03T20:51:30.822217+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
VANGUARD MARKETING CORPORATION | 7716453 | Noah | Garcia | [
"NOE GARCIA",
"Noe Garcia Meza"
] | Active | InActive | N | 0 | 1 | 2 | MALVERN | PA | 19355 | 7452 | 8-21570 | N | 2026-08-03T20:51:30.822229+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
BNP PARIBAS SECURITIES CORP. | 3083605 | JUAN | GARCIA | ESTEBAN | [
"JUAN E GARCIA",
"STEBS GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | NEW YORK | NY | 10019 | 15794 | 8-32682 | N | 2026-08-03T20:51:30.822241+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
VERITAS FINANCIAL CONSULTING LLC | 5819452 | JOSHUA | GARCIA | DANIEL | [
"JOSH GARCIA",
"JOSHUA GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | MONROVIA | CA | 91016 | 314363 | Y | 2026-08-03T20:51:30.822253+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
NYLIFE SECURITIES LLC | 8253206 | Genaro | Garcia | Alberto | [
"G. A. Garcia",
"Genaro Alberto Garcia",
"Gene Garcia"
] | Active | NotInScope | N | 0 | 1 | 1 | CORPUS CHRISTI | TX | 78411 | 5167 | 8-15517 | N | 2026-08-03T20:51:30.822265+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
PACIFIC FINANCIAL STRATEGIES, INC | 1626067 | JOSEPH | GARCIA | ARTHUR | [
"ART GARCIA",
"J ARTHUR GARCIA"
] | NotInScope | Active | N | 0 | 0 | 1 | THOUSAND OAKS | CA | 91360 | 151434 | Y | 2026-08-03T20:51:30.822277+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
J.P. MORGAN SECURITIES LLC | 6098314 | Juan | Garcia | M. | [
"JUAN M GARCIA",
"JUAN MARTIN GARCIA",
"JUAN GARCIA"
] | Active | Active | Y | 0 | 1 | 2 | JERSEY CITY | NJ | 07302 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.822288+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
ABSOLUTE CAPITAL MANAGEMENT, LLC | 1436809 | IROLAND | GARCIA | RAFAEL | [
"IROLAND RICK GARCIA",
"IROLAND GARCIA",
"RAFAEL GARCIA",
"RICK RAFAEL GARCIA",
"RICK GARCIA"
] | NotInScope | Active | Y | 0 | 0 | 1 | BOYNTON BEACH | FL | 121484 | Y | 2026-08-03T20:51:30.822301+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |||
J.P. MORGAN SECURITIES LLC | 6463688 | Alex | Garcia | Micheal | [
"ALEX M GARCIA",
"ALEX MICHAEL GARCIA",
"ALEX GARCIA"
] | Active | NotInScope | N | 0 | 1 | 1 | MISSOURI CITY | TX | 77459 | 79 | 8-35008 | 801-3702 | N | 2026-08-03T20:51:30.822313+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z |
KINGSWOOD CAPITAL PARTNERS, LLC | 5027185 | GARY | GARCIA | G | [
"GARY G GARCIA II",
"Gary Glenn Garcia"
] | Active | Active | N | 0 | 1 | 2 | Tampa | FL | 33609 | 288898 | 8-69967 | N | 2026-08-03T20:51:30.822324+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
BROOKSTONE CAPITAL MANAGEMENT LLC | 2084937 | PELAYO | GARCIA | NICHOLAS | [
"PELAYO N JR GARCIA",
"PETE GARCIA",
"PETER GARCIA JR",
"Pelayo (Peter) Garcia"
] | NotInScope | Active | N | 0 | 0 | 1 | Weston | FL | 33326 | 141413 | Y | 2026-08-03T20:51:30.822333+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | ||
CETERA INVESTMENT SERVICES LLC | 2622761 | ANTONIO | GARCIA | AVELINO | [
"ANTHONY GARCIA",
"TONY GARCIA"
] | Active | Active | N | 0 | 1 | 2 | PINECREST | FL | 33156 | 15340 | 8-31826 | N | 2026-08-03T20:51:30.822343+00:00 | kx3wYL6E6u7hrr3VA | 1JqxIEDZUAfsP6f9Z | |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 6885211 | Illya | Williams | De Jesus | [
"Illya Williams",
"ilya d williams",
"sunny williams"
] | Active | Active | N | 0 | 1 | 2 | ONTARIO | CA | 91764 | 7691 | 8-7221 | 801-14235 | N | 2026-08-03T20:49:43.137873+00:00 | N77eovWnXN2vsZiMe | 7gvuKHGg8fkl18pRr |
ROTHSCHILD & CO US INC. | 4851406 | WILLIAM | ILG | ALEXANDER | [
"WILLIAM A ILG"
] | Active | NotInScope | N | 0 | 1 | 1 | NEW YORK | NY | 10020 | 2910 | 8-13852 | N | 2026-08-03T20:49:43.137908+00:00 | N77eovWnXN2vsZiMe | 7gvuKHGg8fkl18pRr |
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