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Broker’s Background   Donald Paul Robbins (CRD #: 4364668) is registered with MML Investors Services, LLC in Charlotte, NC. Robbins’ past employers include New England Securities, NYLife Securities LLC and Eagle Strategies LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry […]

Broker’s Background   Neil D. Hance (CRD #: 6207150) is registered with The Leaders Group, Inc. in Summit, NJ. Hance’s past employers include MML Investors Services, LLC and Hornor, Townsend & Kent, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry […]

Broker’s Background   Christopher Michael Gardner (CRD #: 6399817) is registered with Signature Estate Securities, LLC and Seia in Los Angeles, CA. Gardner’s past employers include Towneley Capital Management, Inc. and Osaic Wealth, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial […]

Broker’s Background   Josiah D. Jennings (CRD #: 6031164) is formerly a registered broker and financial advisor at Columbia Capital Securities, Inc., LPL Financial LLC and Larson Financial Securities, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Broker’s Background   Andrew Caputo Spaventa (CRD #: 6175466) is registered with TSG Capital Advisors in Hauppauge, NY. Spaventa’s past employers include Cape Securities Inc., Salomon Whitney Financial, Network 1 Financial Securities Inc., SW Financial, Quantum Advisory Group, LLC and TSG Alpha Partners, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Broker’s Background   Aaron Pierce Sevigny (CRD #: 4314368) is registered with United Planners’ Financial Services of America a Limited Partner in Bonita Springs, FL. Sevigny’s past employers include Mony Securities Corporation, Triad Advisors, Inc. and Financial Advisory Consultants, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly […]

Broker’s Background   Robert Lloyd Omohundro (CRD #: 2415942) is registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, GA. Omohundro’s past employers include Centaurus Financial, Inc., JP Turner & Company Capital Management, LLC, J.P. Turner & Company, L.L.C., MML Investors Services, Inc., Wachovia Securities Financial Network, LLC, Raymond James Financial […]

Former Alexander Capital, L.P. Broker and Investment Advisor Roger Allan Roemmich Barred   Broker’s Background   Roger Allan Roemmich (CRD #: 1293322) is formally a register broker and financial advisor at Alexander Capital, L.P., Alexander Capital Wealth Management LLC, Retirement Cash Flow Group, LLC, Dempsey Lord Smith, LLC, Roger’s Retirement Readiness Alliance LLC, Coastal Equities, […]

Broker’s Background   Anthony Tianfeng Cheng (CRD #: 6242405) is formally a register broker and financial advisor at Waddell & Reed, Pruco Securities, LLC, Prudential Financial Planning Services, Ameritas Advisory Services and Ameritas Investment Company, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by […]

Broker’s Background   Javier Adolfo Naselli (CRD #: 2425401) is registered with Creand Securities in Miami, FL. Naselli’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Dean Witter Reynolds Inc., Morgan Stanley DW Inc., Credit Suisse Securities (USA), LLC and UBS Financial Services Inc..   Current and Past Allegations of Conduct Leading to […]