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Michael Clifford Graham (CRD#: 3263494) is a registered broker and investment advisor with LPL Financial LLC in El Paso, TX. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc.; and Principal Securities, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Thoroughbred Financial Services, LLC (CRD#: 47893/SEC#: 801-56741, 8-51944) has been registered with the SEC and FINRA since 2000. Thomas Jenkins Parker (CRD#: 356789) has been a registered broker and investment advisor with Thoroughbred Financial Services, LLC since 2000. Lawrence Randall Hartley (CRD# 1235172) has been a registered broker and investment advisor with Thoroughbred Financial Services, […]

Centaurus Financial, Inc. is a California corporation headquartered in Anaheim, California. Centaurus has been registered with the Commission as a broker-dealer since January 1993 and as an investment adviser since October 1999 Debbie M. Cavanaugh (CRD#:1268420) has been a registered representative, investment adviser representative, and branch manager at Centaurus since February 2020. Michael Y. Hamilton […]

Santiago J Torres, Jr. (CRD#: 5644622) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2009 and previously worked with Chase Investment Services Corp; PNC Investments; BB&T Investment Services, Inc.; BB&T Securities, LLC; and Truist Investment Services, Inc. Allegations of Misconduct According to publicly available records released by […]

Michael Jay Shatsky (CRD#:2430683) is a registered investment advisor with Sky Alpha Asset Advisors, LLC in Boca Raton, FL. He was also a previously registered broker. Broker’s History He entered the securities industry in 1994 and previously worked with Citigroup Global Markets Inc.; Morgan Stanley, and Oppenheimer & Co., Inc. Current and Past Allegations of […]

Curtis Brian Wilson (CRD#: 1517272) is a registered investment advisor with Creativeone Wealth, LLC in Tulsa, OK. He was also a previously registered broker. Broker’s History He entered the securities industry in 1986 and previously worked with Stifel, Nicolaus & Company Incorporated; Dean Witter Reynolds Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Geneos Wealth […]

Robert Kully (CRD#: 3212528) is a previously registered broker and investment advisor.   Broker’s History He entered the securities industry in 2000 and previously worked with GWR Investments, Inc.; VSR Financial Services, Inc.; The Masters; Crown Capital Securities, L.P.; Financial West Group (FINRA expelled the firm in 2020); Axiom Capital Management, Inc.; and Western International […]

Kerrie Coe (CRD#: 4951159) is a registered broker with Wells Fargo Clearing Services, LLC, in Indianapolis, IN.   Broker’s History She entered the securities industry in 2005 and previously worked with Banc One Securities Corporation, Chase Investment Services Corp., J.P Morgan Securities LLC, and Cetera Investment Services LLC.   Current and Past Allegations of Conduct […]

Jason A. Goodhue (CRD# 5121680) is a registered broker with Capitol Securities Management, Inc., in Glastonbury, CT.   Broker’s History He entered the securities industry in 2006 and recently worked with Buell Securities Corp.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 18, 2024, […]

Structured Notes, including Auto-Callable Structured Notes, have become popular among retail securities investors.  Most brokerage firms offer Auto-Callable Structured Notes to their clients and market those products as safe, income producing investments.  In reality, investing in Auto-Callable Structured Notes is a high-risk proposition and often not suitable for most retail securities investors.  As reported by […]