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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 […]

Broker’s Background   John Richard Brodacki III (CRD #: 4384857) was registered with Bay Colony Advisory Group, Inc. as a broker and investment advisor. John’s past employers include IDS Life Insurance Company, American Express Financial Advisors Inc., Equity Services, Inc., Asset Strategy Advisors, LLC and Bay Colony Advisors.   Current and Past Allegations of Conduct […]

Broker’s Background   Arthur Craigg McRae (CRD #: 4697209) was registered with Wells Fargo Advisors Financial Network, LLC as a broker and is currently registered with International Assets Investment Management, LLC as an investment advisor. He is located in Elma, NY. Arthur’s past employers include Edward Jones.   Current and Past Allegations of Conduct Leading […]

Broker’s Background   Chad Michael Tusa (CRD #: 4524325) was registered with LPL Financial LLC. Chad’s past employers include Crown Capital Securities, L.P.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2026, Chad Michael Tusa was […]

Broker’s Background   Kurt Charles Jackson (CRD #: 2913769) is registered with Commonwealth Financial Network. He is located in Arroyo Grande, CA. Kurt’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc and NFP Advisor Services, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According […]

Broker’s Background   Lance Robert Lively (CRD #: 4848076) was registered with Ameriprise Financial Services, LLC. Lively’s past employers include Edward Jones.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2026, Lance Robert Lively was “permitted […]