William Sines (CRD #2190586) was a former Financial Advisor at Kalos Capital in Seminole, Florida. William Sines currently works for Berthel Fisher & Co. William Sines has been in the securities industry since the early 1990s and previously worked for SII Investments and Pruco Securities Corp. According to publicly available records released by the Financial […]

  Kenneth Guerra (CRD # 1337062) is a Financial Advisor at Independent Financial Group in Grants Pass, Oregon. Kenneth Guerra previously worked at ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 5, 2019, a customer complaint was reported against Kenneth Guerra, alleging “despite ttheir stated […]

  Michael Severance (CRD # 1023971) was a former Financial Advisor at National Planning Corp. and LPL Financial in Edina, Minnesota. Michael Severance previously worked at Voya Financial Advisors between 1981-2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2018, LPL Financial terminated Michael Severance for “violation of […]

  Gerald Eaton (CRD # 2279093 was a former Financial Advisor at Commonwealth Financial Network in Acton, MA. Gerald Eaton previously worked at John Hancock Distributors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 28, 2019, Gerald Eaton was discharged by Commonwealth Financial Network for allegedly engaging in […]

David Kendrick (CRD # 4384666) was a Financial Advisor at NY Life Securities in Shreveport, Louisiana.  David Kendrick previously worked at Lincoln Financial Advisors Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 20, 2019, David Kendrick was suspended by FINRA for 18 months and fined $30,000 for […]

Dennis M. Nakamura (CRD # 819626) was a Financial Advisor at McNally Financial Services Corporation in Moraga, CA.  Dennis Nakamura has been in the securities industry since 1976 and previously worked at JHS Capital Advisors, Sterling Financial Investment Group, Round Hill Securities, First Affiliated Securities, Smith Barney, Harris Upham & Co., Executive Financial Services, Emmett […]

Harold Alan Schwartz (CRD # 841225) is a Financial Advisor at Stephan A. Kohn & Associates in Jacksonville, FL.  Harold Schwartz has been in the securities industry since 1997 and previously worked at Royal Alliance, The Leaders Group, D.E. Frey & Company, Pruco Securities, Lehman Brothers, E.F. Hutton, Connecticut Mutual Life, and New York Life. […]

Timothy R. Millis (CRD # 706959) was a Financial Advisor at NYLife Securities LLC in Okemos, MI.  Timothy Millis has been in the securities industry since 1980 and previously worked at Valic Financial Advisors, Inc., The Variable Annuity Marketing Company and American Capital Financial Services, Inc. According to publicly available records released by the Financial […]

Brian Joseph Lockett (CRD # 4573162) is a Financial Advisor at Independent financial Group, LLC in Lynnwood, WA.  Brian Lockett has been in the securities industry since 2002 and previously worked at Geneos Wealth Management, Inc. and Commonwealth Financial Network. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brian Lockett […]

Clint H. Keener (CRD # 2250146) was a Financial Advisor at Capital City Securities, LLC in Powell, OH.  Clint Keener has been in the securities industry since 1996 and previously worked at WRP Investments, Stifel, Nicolaus & Company, McDonald Investments Inc., Michael Patterson, Inc., Quantum Capital Corporation and The Hamilton-Shea Group, Inc. According to publicly […]